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G••••••••• A••••••••• F•••••• C••••••• L••

Institutional managerSEC-registered· New York, New Yorkwebsite

Institutional manager, based in New York, New York, reporting $1.4B of regulatory assets.

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

Regulatory AUM
$1.4B
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

    L•••• H••••••• L•• appeared on Schedule A as an owner on 17 Aug 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 340242 · SEC 801-135882 · 2 filingsShow
CRD 340242SEC 801-135882First filing on the tape Mar 18, 2026, latest Aug 17, 2026SEC status approved since Apr 20, 2026IAPD
RAUM
$1.4B
reported, Item 5.F
Discretionary
84%
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
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape

Filed figures over time · the tape starts Mar 18, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$1.4B as of Aug 17, 2026
Mar 18, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 17, 2026
Mar 18, 20261 then
Employees (5.A)9 as of Aug 17, 2026
Mar 18, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 17, 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
$719MderivedRAUM over accounts (5.F.2.f)
Discretionary
84%derivedof RAUM
Institutional
100%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% insurance companies

The breakdown by client type, and the client counts1 client typesShow
  • Insurance companies$1.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 0% private clients, 0% pooled funds, 100% institutions; a related broker-dealer; a related bank; 700% of advisors also broker-dealer representativesderived
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• Y•••• · Chief Compliance Officercontrol
        since 07/2026 · owns less than 5%
      • G••••••••• M••• · Senior Managing Directorcontrol
        since 02/2026 · owns less than 5%
      • V•• L•••• M•••• A••• · Chairmancontrol
        since 02/2026 · owns less than 5%
      • W••••••••• C••• · Presidentcontrol
        since 02/2026 · owns less than 5%
      Entity owners
      • L•••• H••••••• L•• · 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
      • Accounts · 0 to 2
        Mar 18, 2026 to Aug 17, 2026
      • Advisory employees · 0 to 6
        Mar 18, 2026 to Aug 17, 2026
      • BD registered reps · 4 to 7
        Mar 18, 2026 to Aug 17, 2026
      • Employees · 5 to 9
        Mar 18, 2026 to Aug 17, 2026
      • State-registered IARs · 1 to 0
        Mar 18, 2026 to Aug 17, 2026
      Full history · 8 changes
      • Discretionary RAUM · $0 to $1.2B
        Mar 18, 2026 to Aug 17, 2026
      • Non-discretionary RAUM · $0 to $225M
        Mar 18, 2026 to Aug 17, 2026
      • RAUM · $0 to $1.4B
        Mar 18, 2026 to Aug 17, 2026
      Signals
      1 dated events
      • ••• Locked
        Mar 18, 2026 · First SEC registration · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Aug 17, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Aug 17, 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

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