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

A•••••• C••••••• L•••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 108693SEC 801-56238IAPD
Latest filing Jul 22, 2015
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$105M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$144M gross assets
History
5 filings and snapshots on the tape
RAUM$105M as of Apr 1, 2015
Mar 30, 2012$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2015
Mar 28, 20130 then
Employees (5.A)2 as of Apr 1, 2015
Mar 28, 201315 then
Private funds2 as of Apr 1, 2015
Mar 30, 20129 then
RAUM -29% over the last fiscal year-66% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 22, 2015; 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
$52.7MderivedRAUM 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
-29%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 individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$149M, 6 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)
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
$149M for 6 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
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••• M••••••••• F••• ••••••••• L•••Hedge Fund$98.1M2Mar 30, 2012
      A•••••• T•••••• P••••••• T•••• R••••• M••••• F•••• L•••no longer reportedHedge Fund$23.2M5Mar 30, 2012
      A•••••• M••••••••• S•• ••••••• L•••no longer reportedHedge Fund$20.7M39Mar 28, 2013
      A•••••• L••••••••• E••••• F•••• L•••no longer reportedHedge Fund$6.5M6Mar 30, 2012
      A•••••• M••••••••• F••• ••••••• L•••no longer reportedHedge Fund$4.4M2Mar 30, 2012
      A•••••• A••••• B•••••••• O•••••••••no longer reportedHedge Fund$3.7M2Mar 30, 2012
      A•••••• E••••••• F•••• L•Hedge Fund$13,3301Mar 30, 2012
      A•••••• U••• L•••• C•• E••••• F••• I•no longer reportedHedge Fund$00Mar 30, 2012
      A•••••• U••• L•••• C•• E••••• F••• I•no longer reportedHedge Fund$00Mar 30, 2012
      A•••••• U••• D••••••••• B••• F•••no longer reportedHedge Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E•••• P••••••• C•••••• · Founding Partner / Shareholdercontrol
        since 01/1999 · owns 75% or more
      • S••••• J•••• D••••• · Chief Compliance Officer / Managing Director / Presidentcontrol
        since 01/2014 · owns less than 5%
      • E•••• M•••••••• C••••••• · Founding Partner / Shareholder
        since 01/1999 · owns 10% to 25%
      Entity owners
      • A•••••• C•••••• G•• L••••• · General Partner
        direct · 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 · 6 to 2
        Mar 31, 2014 to Apr 1, 2015
      • Advisory employees · 4 to 2
        Mar 31, 2014 to Apr 1, 2015
      • Advisory activities · 3 to 2
        Mar 31, 2014 to Apr 1, 2015
      • Employees · 4 to 2
        Mar 31, 2014 to Apr 1, 2015
      • Private funds · 6 to 2
        Mar 31, 2014 to Apr 1, 2015
      • Discretionary RAUM · $149M to $105M
        Mar 31, 2014 to Apr 1, 2015
      • RAUM · $149M to $105M
        Mar 31, 2014 to Apr 1, 2015
      • Advisory employees · 8 to 4
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $1.2B to $149M
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 15 to 4
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.2B to $149M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $1.2B to $149M
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 9 to 6
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 8.0
        Mar 30, 2012 to Mar 28, 2013
      • Assets in custody · $2.7B to $1.2B
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 15.0
        Mar 30, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Mar 28, 2013
      • Private funds · 9 to 6
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $2.7B to $1.2B
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $2.7B to $1.2B
        Mar 30, 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
      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