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

C••••••• I••••••••• M••••••••• C• L••

Former SEC-registered adviserNew York, New YorkCRD 109252SEC 801-56077IAPD
Latest filing Jan 30, 2017
First filing on the tape Apr 4, 2012 · 15 filings
RAUM
$35.6M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$66.5M gross assets
History
15 filings and snapshots on the tape
RAUM$35.6M as of Mar 30, 2016
Apr 4, 2012$259M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Apr 4, 20120 then
Employees (5.A)3 as of Mar 30, 2016
Mar 28, 20134 then
Private funds5 as of Mar 30, 2016
Apr 4, 20126 then
RAUM -72% over the last fiscal year-43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 30, 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
$7.1MderivedRAUM 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
-72%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
$35.6M, 5 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)
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
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$35.6M for 5 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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••••• C••••••• O••••••• F•••• L•••Hedge Fund$22.5M8Apr 4, 2012
      V••••• C••••••• E•••• D••••• F•••• L•no longer reportedHedge Fund$10.9M20Apr 4, 2012
      V••••• C••••••• F•••• L•Hedge Fund$6.8M12Apr 4, 2012
      V••••• C••••••• E•••• D••••• O••••••• F•••• L•••Hedge Fund$1.8M3Apr 4, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• M•••• A•••• · Chief Compliance Officercontrol
        since 01/2017 · owns less than 5%
      • K••••• D••••• L•• · General Counselcontrol
        since 08/2011 · owns less than 5%
      • L••••• B•••••• · Portfolio Managercontrol
        since 05/2002 · owns less than 5%
      • G••••••••• F••••••• X••••• · Class B Membercontrol
        since 06/2011 · owns 25% to 50% of V••••• C••••••• E•••• I•• L••
      • G•••••••• J••••• J•• · Managing Membercontrol
        since 07/2007 · owns 75% or more of J• A••••• L••
      • L••••• B•••••• · Class B Membercontrol
        since 06/2011 · owns 50% to 75% of V••••• C••••••• C••••• I•• L••
      Entity owners
      • V••••• C••••••• C••••• I•• L•• · Class B Member
        direct · owns 50% to 75%
      • V••••• C••••••• E•••• I•• L•• · Class A Member
        direct · owns 50% to 75%
      • J• A••••• L•• · General Partner
        indirect · owns 75% or more of V••••• A•••• M••••••••• L•
      • V••••• A•••• M••••••••• L• · Class A Member
        indirect · owns 50% to 75% of V••••• C••••••• C••••• I•• L••, V••••• C••••••• E•••• I•• L••
      Related persons
      Schedule D 7.A
      • C••••••• C•••••• M••••••••• L••
        pooled vehicle sponsorn
      • E•••••• A•••• M••••••••• L••
        investment advisern
      • E•••••• M••••••••• L••
        pooled vehicle sponsorn
      • V••••• A•••• M••••••••• L•
        investment adviserbankyRAUM $167M
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        May 4, 2015 to Mar 30, 2016
      • Assets in custody · $129M to $35.6M
        May 4, 2015 to Mar 30, 2016
      • Employees · 4 to 3
        May 4, 2015 to Mar 30, 2016
      • Discretionary RAUM · $129M to $35.6M
        May 4, 2015 to Mar 30, 2016
      • RAUM · $129M to $35.6M
        May 4, 2015 to Mar 30, 2016
      • Advisory employees · 5 to 4
        Jun 24, 2014 to Mar 31, 2015
      • Assets in custody · $141M to $129M
        Jun 24, 2014 to Mar 31, 2015
      • Employees · 5 to 4
        Jun 24, 2014 to Mar 31, 2015
      • Discretionary RAUM · $149M to $129M
        Jun 24, 2014 to Mar 31, 2015
      • RAUM · $149M to $129M
        Jun 24, 2014 to Mar 31, 2015
      • Assets in custody · unset to 141285781.0
        May 23, 2014 to Jun 24, 2014
      • Custody of client assets · false to true
        May 23, 2014 to Jun 24, 2014
      • Accounts · 6 to 5
        Jan 7, 2014 to Mar 31, 2014
      • Advisory employees · 3 to 5
        Jan 7, 2014 to Mar 31, 2014
      • Employees · 4 to 5
        Jan 7, 2014 to Mar 31, 2014
      • Private funds · 6 to 5
        Jan 7, 2014 to Mar 31, 2014
      • Discretionary RAUM · $196M to $149M
        Jan 7, 2014 to Mar 31, 2014
      • RAUM · $196M to $149M
        Jan 7, 2014 to Mar 31, 2014
      • Accounts · 7 to 6
        May 7, 2012 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        May 7, 2012 to Mar 28, 2013
      • Assets in custody · 244921000.0 to unset
        May 7, 2012 to Mar 28, 2013
      • Custody of client assets · true to false
        May 7, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        May 7, 2012 to Mar 28, 2013
      • Discretionary RAUM · $259M to $196M
        May 7, 2012 to Mar 28, 2013
      • RAUM · $259M to $196M
        May 7, 2012 to Mar 28, 2013
      • Related bank · false to true
        May 7, 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