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.

Former SEC-registered adviser

Advantage Advisers Private Equity Management LLC

Former SEC-registered adviserNew York, New YorkCRD 108181SEC 801-56217IAPD
Latest filing Mar 24, 2017
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$3.1M
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
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$3.1M gross assets
History
13 filings and snapshots on the tape
RAUM$3.1M as of Mar 24, 2017
Mar 29, 2012$7.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2017
Mar 29, 20120 then
Employees (5.A)0 as of Mar 24, 2017
Mar 20, 20130 then
Private funds2 as of Mar 24, 2017
Mar 29, 20121 then
RAUM -4.4% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2017; 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
$1.6MderivedRAUM 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
-4.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$3.1M, 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
  • 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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.1M for 2 clientsreported
Compensation
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Advantage Advisers Private Equity Partners, L.P.Private Equity Fund$2.6M196Mar 29, 2012
      Advantage Advisers Private Equity Partners Offshore Fund, Ltd.Private Equity Fund$519,40420Mar 20, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • Jeffrey Alfano · Svp-Cfocontrol
        since 03/2011 · owns less than 5%
      • Deborah Kaback · Svp-Chief Legal Officercontrol
        since 03/2011 · owns less than 5%
      • Edward Bryan Mckigney · Presidentcontrol
        since 04/2015 · owns less than 5%
      • Patrick Dennis Mcnamara · Svp-Secretarycontrol
        since 03/2011 · owns less than 5%
      • Thornley Douglas Siegel · Global Compliance Officercontrol
        since 02/2016 · owns less than 5%
      • Andrew James Capezzuto · Cco
        since 02/2015 · owns less than 5%
      Entity owners
      • Oppenheimer Asset Management Inc. · Managing Member
        direct · owns 75% or more
      • E.A. Viner International Co. · 100% Owner
        indirect · owns 75% or more of Oppenheimer Asset Management Inc.
      • Oppenheimer Holdings Inc. · 100% Owner
        indirect · owns 75% or more of E.A. Viner International Co. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Advantage Advisers Private Equity Management LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $3.2M to $3.1M
        Mar 22, 2016 to Mar 24, 2017
      • Discretionary RAUM · $3.2M to $3.1M
        Mar 22, 2016 to Mar 24, 2017
      • RAUM · $3.2M to $3.1M
        Mar 22, 2016 to Mar 24, 2017
      • Assets in custody · $3.1M to $3.2M
        Apr 29, 2015 to Mar 22, 2016
      • Discretionary RAUM · $3.1M to $3.2M
        Apr 29, 2015 to Mar 22, 2016
      • RAUM · $3.1M to $3.2M
        Apr 29, 2015 to Mar 22, 2016
      • Assets in custody · $4.3M to $3.1M
        Feb 24, 2015 to Mar 23, 2015
      • Discretionary RAUM · $4.3M to $3.1M
        Feb 24, 2015 to Mar 23, 2015
      • RAUM · $4.3M to $3.1M
        Feb 24, 2015 to Mar 23, 2015
      • Assets in custody · $6.3M to $4.3M
        Jul 25, 2013 to Mar 14, 2014
      • Discretionary RAUM · $6.4M to $4.3M
        Jul 25, 2013 to Mar 14, 2014
      • RAUM · $6.4M to $4.3M
        Jul 25, 2013 to Mar 14, 2014
      • Discretionary RAUM · $6.3M to $6.4M
        Apr 24, 2013 to Apr 25, 2013
      • RAUM · $6.3M to $6.4M
        Apr 24, 2013 to Apr 25, 2013
      • Accounts · 1 to 2
        Oct 8, 2012 to Mar 20, 2013
      • Assets in custody · $6.9M to $6.3M
        Oct 8, 2012 to Mar 20, 2013
      • Employees · unset to 0.0
        Oct 8, 2012 to Mar 20, 2013
      • Private funds · 1 to 2
        Oct 8, 2012 to Mar 20, 2013
      • Discretionary RAUM · $7.2M to $6.3M
        Oct 8, 2012 to Mar 20, 2013
      • RAUM · $7.2M to $6.3M
        Oct 8, 2012 to Mar 20, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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