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Former SEC-registered adviser

A•••••••• C•••••• M••••••••• L•

Former SEC-registered adviserWest Palm Beach, FloridaCRD 331282SEC 801-130302IAPD
Latest filing Sep 26, 2024
First filing on the tape Apr 17, 2024 · 2 filings
RAUM
$267M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$267M gross assets
History
2 filings and snapshots on the tape
RAUM: $267M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 26, 2024
Apr 17, 20240 then
Employees (5.A)10 as of Sep 26, 2024
Apr 17, 202410 then
Private funds: 2
Practice profile
derived from the filing of Sep 26, 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
$44.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, 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
Custody
$267M, 6 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$267M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$267M for 6 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••••• C••••• S••••••••• M••••• F••• L•Hedge Fund$140M5Sep 26, 2024
      A•••••••• F•••• I••••• R••••••• V•••• M••••• F••• L•Hedge Fund$128M4Sep 26, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • N•••• M•••••••• M• · Cco / Coocontrol
        since 12/2023 · owns less than 5%
      • F•••••• F••••••• D•••••• · Limited Partner / Head Of Investor Relations
        since 08/2023 · owns 10% to 25%
      • T••• A••••••• N•• · Limited Partner / Deputy Cio
        since 08/2023 · owns 10% to 25%
      • F•••••• F••••••• D•••••• · Owner
        since 08/2023 · owns F of A•••••••• C•••••• M••••••••• G• L••
      • T••• A••••••• N•• · Owner
        since 08/2023 · owns F of A•••••••• C•••••• M••••••••• G• L••
      Entity owners
      • A•••••••• C•••••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•••••••• F••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 6.0
        Apr 17, 2024 to Sep 26, 2024
      • Pooled vehicle clients · unset to 6.0
        Apr 17, 2024 to Sep 26, 2024
      • Assets in custody · unset to 267186265.0
        Apr 17, 2024 to Sep 26, 2024
      • Custody of client assets · false to true
        Apr 17, 2024 to Sep 26, 2024
      • Private funds · unset to 2
        Apr 17, 2024 to Sep 26, 2024
      • Discretionary RAUM · unset to 267186265.0
        Apr 17, 2024 to Sep 26, 2024
      • Non-discretionary RAUM · unset to 0.0
        Apr 17, 2024 to Sep 26, 2024
      • Pooled vehicle RAUM · unset to 267186265.0
        Apr 17, 2024 to Sep 26, 2024
      • RAUM · unset to 267186265.0
        Apr 17, 2024 to Sep 26, 2024
      • Related adviser · false to true
        Apr 17, 2024 to Sep 26, 2024
      Signals
      2 dated events
      • ••• Locked
        Sep 26, 2024 · Control person left · inference
      • ••• Locked
        Apr 17, 2024 · 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