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

M••••••• A•••• M••••••••• L•

Former SEC-registered adviserCRD 107332SEC 801-50347IAPD
Latest filing Nov 8, 2016
First filing on the tape Mar 29, 2012 · 18 filings
RAUM
$1.7B
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
14
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$230M gross assets
History
18 filings and snapshots on the tape
RAUM$1.7B as of Mar 29, 2016
Mar 29, 2012$5.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 29, 20120 then
Employees (5.A)14 as of Mar 29, 2016
Feb 13, 201315 then
Private funds1 as of Mar 29, 2016
Mar 29, 20123 then
RAUM -55% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 8, 2016; 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
$212MderivedRAUM 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
-55%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$230M, 1 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$230M for 1 clientsreported
Compensation
% of AUMreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••• I••••••••• F•••Other Private Fund$230M17Mar 29, 2012
      T•• P••••••••• I•••••••• C•••••• O• A•••••• V•••••••••no longer reportedOther Private Fund$78.2M4Mar 29, 2012
      M••••••• E••••••• M•••••• P••••••• L••no longer reportedOther Private Fund$1.8M4Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T•••••• B••••••• J••• · Chief Compliance Officercontrol
        since 05/2016 · owns 10% to 25%
      • C•••••• J••••• E•••••• · Sole Shareholdercontrol
        since 01/2001 · owns 75% or more of J•• C••••
      • C••••••• G•••• R•••••• · Sole Shareholdercontrol
        since 01/2005 · owns 75% or more of G•• C•••.
      • R•••••• C••••••• F•••••••• · Sole Shareholdercontrol
        since 07/2011 · owns 75% or more of C•• C••••
      • S••••• P••••• F• · Sole Shareholdercontrol
        since 10/1995 · owns 75% or more of P•• C••••
      • T•••••••• J•••• G••••• · Sole Shareholdercontrol
        since 10/1995 · owns 75% or more of J•• C••••
      • T•••••• B••••••• J••• · Sole Shareholdercontrol
        since 01/2002 · owns 75% or more of B•• C••••
      Entity owners
      • B•• C•••• · General Partner
        direct · owns 25% to 50%
      • C•• C•••• · General Partner
        direct · owns less than 5%
      • J•• C•••• · General Partner
        direct · owns 25% to 50%
      • G•• C••• · Limited Partner
        direct · owns 10% to 25%
      • J•• C•••• · Limited Partner
        direct · owns 10% to 25%
      • P•• C•••• · Limited Partner
        direct · 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
      • HQ city · BOCA RATON to unset
        Mar 29, 2016 to Jun 1, 2016
      • HQ state · FL to unset
        Mar 29, 2016 to Jun 1, 2016
      • Accounts · 18 to 8
        Jul 17, 2015 to Mar 29, 2016
      • Assets in custody · $1.1B to $230M
        Jul 17, 2015 to Mar 29, 2016
      • Private funds · 2 to 1
        Jul 17, 2015 to Mar 29, 2016
      • Discretionary RAUM · $3.7B to $1.7B
        Jul 17, 2015 to Mar 29, 2016
      • RAUM · $3.7B to $1.7B
        Jul 17, 2015 to Mar 29, 2016
      • Employees · 15 to 14
        May 6, 2015 to Jul 17, 2015
      • Accounts · 23 to 18
        Sep 10, 2014 to Feb 24, 2015
      • Discretionary RAUM · $5.3B to $3.7B
        Sep 10, 2014 to Feb 24, 2015
      • RAUM · $5.3B to $3.7B
        Sep 10, 2014 to Feb 24, 2015
      • Private funds · 3 to 2
        Mar 14, 2014 to Sep 10, 2014
      • Accounts · 29 to 23
        Oct 14, 2013 to Mar 14, 2014
      • Assets in custody · $1.3B to $1.1B
        Oct 14, 2013 to Mar 14, 2014
      • Discretionary RAUM · $5.6B to $5.3B
        Oct 14, 2013 to Mar 14, 2014
      • RAUM · $5.6B to $5.3B
        Oct 14, 2013 to Mar 14, 2014
      • Accounts · 32 to 29
        Jul 19, 2012 to Feb 13, 2013
      • Advisory employees · unset to 7.0
        Jul 19, 2012 to Feb 13, 2013
      • Assets in custody · $1.3B to $1.3B
        Jul 19, 2012 to Feb 13, 2013
      • Employees · unset to 15.0
        Jul 19, 2012 to Feb 13, 2013
      • Discretionary RAUM · $5.4B to $5.6B
        Jul 19, 2012 to Feb 13, 2013
      • RAUM · $5.4B to $5.6B
        Jul 19, 2012 to Feb 13, 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