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.
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Former SEC-registered adviser
O•••• A•••••••••
Latest filing Mar 29, 2018
First filing on the tape Mar 28, 2012 · 18 filings
RAUM
$4.4B
reported, Item 5.F
Discretionary
100%
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
33
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$3.5B gross assets
History
18 filings and snapshots on the tape
RAUM$4.4B as of Mar 29, 2018
Mar 28, 2012$5.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 26, 20130 then
Employees (5.A)33 as of Mar 29, 2018
Mar 26, 201332 then
Private funds5 as of Mar 29, 2018
Mar 28, 20124 then
RAUM -28% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
- $486MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.5%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
- -28%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $3.7B, 8 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.2B97%
- Pension and profit-sharing plans$127M2.9%
- Charitable organizations$24.3M0.6%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.7B for 8 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••• C••••••••• P••••••••• L••• | Hedge Fund | $1.1B | 2 | Aug 10, 2012 |
| O•••• E••••• I••••••••• L••• | Hedge Fund | $815M | 88 | Mar 28, 2012 |
| O•••• O••••••• P•••••••• L••• | Hedge Fund | $677M | 52 | Mar 28, 2012 |
| P••••• L•• L•••no longer reported | Hedge Fund | $609M | 3 | Apr 4, 2012 |
| 8••••••••• E•••no longer reported | Hedge Fund | $478M | 1 | Jun 22, 2012 |
| O•••• C•••••• I••••••••• L••• | Hedge Fund | $366M | 104 | Mar 28, 2012 |
| O•••• C••••• O••••••••• M••••• F•••• L••• | Hedge Fund | $284M | 54 | Aug 29, 2013 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• L•••• G• · Chief Executive Officer And Presidentcontrolsince 08/1991 · owns 75% or more
- B••••• D••••• N•• · Chief Operating Officersince 06/2013 · owns less than 5%
- E••••••• S•••••• G••• · Vice Chairmansince 05/1999 · owns less than 5%
- L••••• S••••• J•• · Chief Compliance Officersince 09/2005 · owns less than 5%
- L•••• E••••• · Chief Financial Officersince 03/2006 · owns less than 5%
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 · 10 to 9Nov 13, 2017 to Mar 29, 2018
- Advisory employees · 17 to 19Nov 13, 2017 to Mar 29, 2018
- Pooled vehicle clients · 8 to 7Nov 13, 2017 to Mar 29, 2018
- Assets in custody · $6.2B to $3.7BNov 13, 2017 to Mar 29, 2018
- Employees · 31 to 33Nov 13, 2017 to Mar 29, 2018
- Private funds · 6 to 5Nov 13, 2017 to Mar 29, 2018
- Discretionary RAUM · $6.3B to $4.4BNov 13, 2017 to Mar 29, 2018
- Pension RAUM · $122M to $127MNov 13, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · $6.3B to $4.2BNov 13, 2017 to Mar 29, 2018
- RAUM · $6.3B to $4.4BNov 13, 2017 to Mar 29, 2018
- Accounts · 9 to 10Jun 6, 2017 to Nov 13, 2017
- BD registered reps · 0 to 1Jun 6, 2017 to Nov 13, 2017
- Charity clients · unset to 0.0Jun 6, 2017 to Nov 13, 2017
- Corporate clients · unset to 0.0Jun 6, 2017 to Nov 13, 2017
- HNW clients · unset to 0.0Jun 6, 2017 to Nov 13, 2017
- Individual clients · unset to 0.0Jun 6, 2017 to Nov 13, 2017
- Pension plan clients · unset to 0.0Jun 6, 2017 to Nov 13, 2017
- Pooled vehicle clients · unset to 8.0Jun 6, 2017 to Nov 13, 2017
- Assets in custody · $4.1B to $6.2BJun 6, 2017 to Nov 13, 2017
- Employees · 35 to 31Jun 6, 2017 to Nov 13, 2017
- Other offices · unset to 0.0Jun 6, 2017 to Nov 13, 2017
- Discretionary RAUM · $6.1B to $6.3BJun 6, 2017 to Nov 13, 2017
- Pension RAUM · unset to 121767311.0Jun 6, 2017 to Nov 13, 2017
- Pooled vehicle RAUM · unset to 6291483598.0Jun 6, 2017 to Nov 13, 2017
- RAUM · $6.1B to $6.3BJun 6, 2017 to Nov 13, 2017
- Accounts · 8 to 9Sep 29, 2016 to Mar 31, 2017
- Advisory employees · 21 to 17Sep 29, 2016 to Mar 31, 2017
- Assets in custody · $5.2B to $4.1BSep 29, 2016 to Mar 31, 2017
- Employees · 39 to 35Sep 29, 2016 to Mar 31, 2017
- Discretionary RAUM · $7.6B to $6.1BSep 29, 2016 to Mar 31, 2017
- RAUM · $7.6B to $6.1BSep 29, 2016 to Mar 31, 2017
- Accounts · 17 to 8Mar 28, 2016 to Sep 29, 2016
- Advisory activities · 3 to 2Mar 28, 2016 to Sep 29, 2016
- Assets in custody · $5.3B to $5.2BMar 28, 2016 to Sep 29, 2016
- Employees · 43 to 39Mar 28, 2016 to Sep 29, 2016
- Discretionary RAUM · $9.7B to $7.6BMar 28, 2016 to Sep 29, 2016
- RAUM · $9.7B to $7.6BMar 28, 2016 to Sep 29, 2016
- Advisory employees · 23 to 21Oct 16, 2015 to Mar 28, 2016
- Assets in custody · $8.9B to $5.3BOct 16, 2015 to Mar 28, 2016
- Employees · 44 to 43Oct 16, 2015 to Mar 28, 2016
Signals
1 dated events
- O•••• A••••••••• reported RAUM $4.4B, down 31% from $6.3B (2017-11-13 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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