DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

V•••••• I••••••••• M••••••••• C••••

Former SEC-registered adviserBasking Ridge, New JerseyCRD 105804SEC 801-15429IAPD
Latest filing Mar 19, 2019
First filing on the tape Mar 27, 2012 · 20 filings
RAUM
$51B
reported, Item 5.F
Discretionary
99%
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
14
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$676M gross assets
History
20 filings and snapshots on the tape
RAUM$51B as of Mar 19, 2019
Mar 27, 2012$50B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2019
Mar 27, 20120 then
Employees (5.A)14 as of Mar 19, 2019
Apr 1, 201325 then
Private funds1 as of Mar 19, 2019
Mar 27, 20141 then
RAUM -3.4% over the last fiscal year+4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2019; 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
$4.7BderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
98%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
-3.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$1.1B, 2 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$50B98%
  • Pooled investment vehicles$676M1.3%
  • Insurance companies$414M0.8%
  • Charitable organizations$40.1M0.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
4reported
Charitable clients
1reported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.1B for 2 clientsreported
Compensation
n/areported
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
      V••• N• L•no longer reportedOther Private Fund$2.0B7May 9, 2012
      V••• P••••••••• N• L•••Other Private Fund$676M2Aug 27, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• S••••••• A•••••• · Chief Legal Officer And Chief Compliance Officercontrol
        since 12/2015 · owns less than 5%
      • E••••• M••••••• D•••• · Directorcontrol
        since 11/2016 · owns less than 5%
      • F•••••• L•••••••• D•••••• · Chief Investment Officercontrol
        since 04/2018 · owns less than 5%
      • K••••• S••••• D•••• · President And Directorcontrol
        since 03/2018 · owns less than 5%
      • K•••••• T••••• A•• · Director
        since 02/2018 · owns less than 5%
      Entity owners
      • G•• L•• · Corporate Parent
        direct · owns 75% or more
      • V•••••• C••••••••• I••• · Corporate Parent
        indirect · owns 75% or more of G•• L•• · public reporting company
      Related persons
      Schedule D 7.A
      • E••••••• I•••••••• C••••••
        real estaten
      • V••• G• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 11
        Apr 12, 2018 to Mar 19, 2019
      • Advisory employees · 13 to 10
        Apr 12, 2018 to Mar 19, 2019
      • Assets in custody · $1.2B to $1.1B
        Apr 12, 2018 to Mar 19, 2019
      • Employees · 23 to 14
        Apr 12, 2018 to Mar 19, 2019
      • Discretionary RAUM · $53B to $51B
        Apr 12, 2018 to Mar 19, 2019
      • Non-discretionary RAUM · $0 to $414M
        Apr 12, 2018 to Mar 19, 2019
      • Pension RAUM · $51B to $50B
        Apr 12, 2018 to Mar 19, 2019
      • Pooled vehicle RAUM · $805M to $676M
        Apr 12, 2018 to Mar 19, 2019
      • RAUM · $53B to $51B
        Apr 12, 2018 to Mar 19, 2019
      • Accounts · 16 to 12
        Sep 18, 2017 to Mar 29, 2018
      • Advisory activities · 4 to 3
        Sep 18, 2017 to Mar 29, 2018
      • Charity clients · unset to 1.0
        Sep 18, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 4.0
        Sep 18, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Sep 18, 2017 to Mar 29, 2018
      • Assets in custody · unset to 1174822579.0
        Sep 18, 2017 to Mar 29, 2018
      • Custody of client assets · false to true
        Sep 18, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Sep 18, 2017 to Mar 29, 2018
      • Discretionary RAUM · $45B to $53B
        Sep 18, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 51466357681.0
        Sep 18, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 804613400.0
        Sep 18, 2017 to Mar 29, 2018
      • RAUM · $45B to $53B
        Sep 18, 2017 to Mar 29, 2018
      • Accounts · 17 to 16
        Mar 30, 2016 to Mar 27, 2017
      • Discretionary RAUM · $45B to $45B
        Mar 30, 2016 to Mar 27, 2017
      • RAUM · $45B to $45B
        Mar 30, 2016 to Mar 27, 2017
      • Accounts · 23 to 17
        Dec 10, 2015 to Mar 30, 2016
      • Employees · 22 to 23
        Dec 10, 2015 to Mar 30, 2016
      • Discretionary RAUM · $51B to $45B
        Dec 10, 2015 to Mar 30, 2016
      • RAUM · $51B to $45B
        Dec 10, 2015 to Mar 30, 2016
      • Accounts · 22 to 23
        May 1, 2014 to Mar 30, 2015
      • Advisory employees · 14 to 13
        May 1, 2014 to Mar 30, 2015
      • Employees · 25 to 22
        May 1, 2014 to Mar 30, 2015
      • Discretionary RAUM · $49B to $51B
        May 1, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $4,570 to $0
        May 1, 2014 to Mar 30, 2015
      • RAUM · $49B to $51B
        May 1, 2014 to Mar 30, 2015
      • Discretionary RAUM · $47B to $49B
        Feb 7, 2014 to Mar 27, 2014
      • Non-discretionary RAUM · $4,569 to $4,570
        Feb 7, 2014 to Mar 27, 2014
      • RAUM · $47B to $49B
        Feb 7, 2014 to Mar 27, 2014
      • Assets in custody · 2156534617.0 to unset
        Aug 27, 2013 to Aug 28, 2013
      • Custody of client assets · true to false
        Aug 27, 2013 to Aug 28, 2013
      • Private funds · unset to 1
        Apr 1, 2013 to Aug 27, 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
      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