DFX Intelligence

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N•••••• C•••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Greenwich, Connecticut

Former SEC-registered adviser, based in Greenwich, Connecticut, reporting $140M of regulatory assets.

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

As of 2016-03-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $140M
RAUM change, 1 year: -22%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2016-03-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 22 Mar 2016, RAUM $180M to $140M (-22.2%) on the Form ADV filed 22 Mar 2016.

Every filed figure, and the identifiersCRD 105728 · SEC 801-17465 · 12 filingsShow

CRD 105728SEC 801-17465First filing on the tape Mar 14, 2012, latest Mar 22, 2016IAPD

RAUM

$140M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$3.0M gross assets

History

12 filings and snapshots on the tape

RAUM -55% a year over three years · the tape starts Mar 14, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$140M as of Mar 22, 2016

Mar 14, 2012$1.9B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 22, 2016

Mar 28, 20130 then

Employees (5.A)6 as of Mar 22, 2016

Mar 28, 201321 then

Private funds1 as of Mar 22, 2016

Mar 14, 20122 then

RAUM -22% over the last fiscal year-55% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 22, 2016; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $280,000derivedRAUM 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: -22%derivedbetween 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 individuals, portfolio management for businesses and institutions, 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

buys or sells securities as principal to or from clients (8.A.2)
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 500reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every 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)

Fund	Type	Gross assets	Owners	First reported
N•••••• I••••••••• T•••• • G••••• R•••••••• I••••••••• F•••no longer reported	Other Private Fund	$24.0M	4	Mar 14, 2012
N•••••• I••••••••• T•••• • E••••••• M•••••• I••••••••• F•••	Other Private Fund	$3.0M	3	Mar 14, 2012

Owners and control persons

Schedule A and B, latest filing

H•••••••• A••• E••• · Managing Directorcontrol
since 01/1998 · owns 75% or more
R••••••••• S••••• G••••••• · Managing Director, Chief Compliance Officercontrol
since 04/1982 · owns 10% to 25%

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 · 600 to 500
Nov 19, 2015 to Mar 22, 2016
Advisory employees · 6 to 5
Nov 19, 2015 to Mar 22, 2016
Employees · 8 to 6
Nov 19, 2015 to Mar 22, 2016
Discretionary RAUM · $180M to $140M
Nov 19, 2015 to Mar 22, 2016
RAUM · $180M to $140M
Nov 19, 2015 to Mar 22, 2016

Full history · 30 changes

Accounts · 700 to 600
Nov 25, 2014 to Jan 2, 2015
Advisory employees · 7 to 6
Nov 25, 2014 to Jan 2, 2015
Employees · 9 to 8
Nov 25, 2014 to Jan 2, 2015
Discretionary RAUM · $975M to $180M
Nov 25, 2014 to Jan 2, 2015
RAUM · $975M to $180M
Nov 25, 2014 to Jan 2, 2015
Accounts · 703 to 700
Mar 28, 2014 to Nov 25, 2014
Advisory employees · 8 to 7
Mar 28, 2014 to Nov 25, 2014
Employees · 13 to 9
Mar 28, 2014 to Nov 25, 2014
Discretionary RAUM · $774M to $975M
Mar 28, 2014 to Nov 25, 2014
Non-discretionary RAUM · $300M to $0
Mar 28, 2014 to Nov 25, 2014
RAUM · $1.1B to $975M
Mar 28, 2014 to Nov 25, 2014
Accounts · 1,100 to 703
Jun 4, 2013 to Mar 28, 2014
Advisory employees · 10 to 8
Jun 4, 2013 to Mar 28, 2014
Advisory activities · 4 to 3
Jun 4, 2013 to Mar 28, 2014
Employees · 21 to 13
Jun 4, 2013 to Mar 28, 2014
Private funds · 2 to 1
Jun 4, 2013 to Mar 28, 2014
Discretionary RAUM · $1.6B to $774M
Jun 4, 2013 to Mar 28, 2014
Non-discretionary RAUM · $0 to $300M
Jun 4, 2013 to Mar 28, 2014
RAUM · $1.6B to $1.1B
Jun 4, 2013 to Mar 28, 2014
Accounts · 1,400 to 1,100
Jun 25, 2012 to Mar 28, 2013
Advisory employees · unset to 10.0
Jun 25, 2012 to Mar 28, 2013
Employees · unset to 21.0
Jun 25, 2012 to Mar 28, 2013
State-registered IARs · unset to 0.0
Jun 25, 2012 to Mar 28, 2013
Discretionary RAUM · $1.9B to $1.6B
Jun 25, 2012 to Mar 28, 2013
RAUM · $1.9B to $1.6B
Jun 25, 2012 to Mar 28, 2013

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

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: Former SEC-registered adviserderiveda 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