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4• A•• L••

Institutional managerSEC-registered2 private funds· New York, New Yorkwebsite

Institutional manager, based in New York, New York, reporting $51.9M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$51.9M
Form ADV
Advisors
0
IAPD
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. New owner
    ownership and control

    4• A• H•••••••• L•• appeared on Schedule A as an owner on 27 Apr 2026.

    A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.

    FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
Every filed figure, and the identifiersCRD 339735 · SEC 801-136362 · 1 filingShow
CRD 339735SEC 801-136362First filing on the tape Apr 27, 2026, latest Apr 27, 2026SEC status approved since May 28, 2026IAPD
RAUM
$51.9M
reported, Item 5.F
Discretionary
3.6%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
1 filing and snapshots on the tape

Filed figures over time · the tape starts Apr 27, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: $51.9M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 5
Private funds: 2
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
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
$17.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
3.6%derivedof RAUM
Institutional
96%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office 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, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing

96% insurance companies, 3.6% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow
  • Insurance companies$50.0M96%
  • Pooled investment vehicles$1.9M3.6%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
Class basis
RAUM: 0% private clients, 4% pooled funds, 96% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      4• P•••••• E••••• F••• I• L••Private Equity Fund$1.4M14Apr 27, 2026
      4• P•••••• E••••• F••• I•• L••Private Equity Fund$400,0004Apr 27, 2026
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••••• B•••• · Vice Presidentcontrol
        since 07/2025 · owns less than 5%
      Entity owners
      • 4• A• H•••••••• L•• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      3 dated events
      • ••• Locked
        Apr 27, 2026 · private fund first reported · fact
      • ••• Locked
        Apr 27, 2026 · private fund first reported · fact
      • ••• Locked
        Apr 27, 2026 · First SEC registration · derived
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Apr 27, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Apr 27, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Institutional managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      4• A•• L•• is the same institution as 1 record in Private Equity.

      Private Equity1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

      Checking your plan…

      Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.