Overview
Advisory Firm Description
Autumn Lane Advisors, LLC (“ALA” or the “Firm”) began operations in November 2014.
David E. Andrew, Steven D. Oldham and James S. Mooney are the owners of the Firm.
Types of Advisory Services
ALA provides personalized, holistic wealth management to individuals and families;
provides investment consulting services; and serves as investment adviser to private
investment funds.
Wealth Management Services
The Firm offers a family office approach to wealth management on a discretionary basis,
in which the Firm has the authority to place trades without a client’s pre-approval. This
service includes:
• Balance sheet review
• Cash flow and liquidity planning
• Asset allocation
• Portfolio construction and management using third party investment managers and
private partnerships (when appropriate)
• Performance reporting of managed assets
• Third party adviser coordination
• Philanthropic planning
• Financial planning
A client’s investable assets are allocated among external managers of separately managed
accounts, exchange traded funds, mutual funds and private investment funds. Each client’s
portfolio is based on the client’s individual financial circumstances. Clients are responsible
for notifying ALA of any change in circumstance that could affect the recommended
allocation of assets or investment strategies utilized.
Consulting Services
The Firm provides non-discretionary consulting services to ultra-high net worth clients.
This service may include:
• Balance sheet review
• Cash flow and liquidity planning
• Asset allocation
• Investment manager identification, due diligence and fee negotiation
• Portfolio construction and management
• Consolidated reporting of all investable assets
• Third party adviser coordination
• Philanthropic planning
• Family governance
• Next generation education
• Family office accounting
Private Investment Funds
ALA provides investment management services on a discretionary basis to thirteen private
investment funds: Autumn Lane Diversified Strategies, LP; Autumn Lane Alpha
Opportunities, LP; AL Hilltop V, LP; AL ADEF III, LP; AL ADEF IV, LP; AL ILP II, LP;
AL PLUS Capital I, LP; AL Red Dot IV, LP; AL EETF I, LP; AL CapRidge SanVoss, LP;
AL Spicewood I, LP; AL PLUS Capital II, LP and AL CAP91 Partners, (the
“Partnerships”). Investment supervisory services provided to the Partnerships include: (1)
establishing the Partnerships’ investment objectives; (2) buying or selling portfolio
securities on behalf of the Partnerships; (3) engaging other investment managers for
investment services; and (4) periodically reporting to each of the Partnerships’ investors in
accordance with the limited partnership agreement. This document is not a public offer for
investment in the Partnerships. Please refer to the Partnerships’ offering documents for
more detailed information.
Tailored Advisory Services
Wealth Management clients may impose restrictions on investments. There are no material
limitations on the markets or instruments in which the Partnerships may invest or the
strategies which the Firm employs. The Partnerships and the separate accounts have
defined investment programs, disclosed in the Partnership documents and agreements with
the individual clients and families that may impose investment restrictions.
Client Assets Under Management
As of December 31, 2023, the Firm had approximately $631 million in discretionary assets
under management and approximately $338 million in non-discretionary assets for a total
of approximately $969 million in assets under management.