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Former SEC-registered adviser

A•• L••••••• M••••••••• C•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 328596SEC 801-129776IAPD
Latest filing May 28, 2024
First filing on the tape Oct 18, 2023 · 3 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 28, 2024
Oct 18, 20230 then
Employees (5.A)4 as of May 28, 2024
Oct 18, 20234 then
Private funds: no history
Practice profile
derived from the filing of May 28, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• J•••• C••••• · Chief Compliance Officer, Principal And Managing Partnercontrol
        since 03/2023 · owns 25% to 50%
      • M•••• J•••••• S•••••• · Principal And Managing Partnercontrol
        since 03/2023 · owns 10% to 25%
      • M•••••••• D•••• · Principal And Vice Presidentcontrol
        since 03/2023 · owns less than 5%
      • D•••••• J•••• C••••• · Shareholdercontrol
        since 10/2021 · owns 50% to 75% of L••••••• C•••••• U•• I••
      • D•••••••• C••••• A•••••• · Membercontrol
        since 09/2021 · owns 25% to 50% of C•••• C••••••••• L•••••• I•••••••••
      • M•••• J•••••• S•••••• · Shareholdercontrol
        since 10/2021 · owns 25% to 50% of L••••••• C•••••• U•• I••
      Entity owners
      • C•••• C••••••••• L•••••• I••••••••• · Shareholder
        indirect · owns 25% to 50% of A•• G•••• L•••
      • A•• G•••• L••• · Member
        direct · owns 50% to 75%
      • L••••••• C•••••• U•• I•• · Managing Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related broker-dealer · false to true
        Feb 26, 2024 to May 28, 2024
      Signals
      1 dated events
      • A•• L••••••• M••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Oct 18, 2023 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026