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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S•••••• C•••••• M•••••••••
Latest filing May 14, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Jan 4, 1988
RAUM
$395M
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
17
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
11
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$395M as of May 14, 2026
Mar 30, 2012$2.5B then
HNW client RAUM$12.2M as of Mar 29, 2019
Mar 29, 2018$13.7M then
State-registered IARs (5.B.3)0 as of May 14, 2026
Apr 1, 20130 then
Employees (5.A)17 as of May 14, 2026
Apr 1, 201334 then
Private funds11 as of May 14, 2026
Mar 30, 201223 then
RAUM -58% over the last fiscal year-42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 14, 2026; 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
- $35.9MderivedRAUM 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
- -58%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 pooled vehiclesreportedItem 5.G
- Custody
- $249M, 10 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$395M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $249M for 10 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
29 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• A••••••••• F•••• P•• A••••• I• R•••••• O• T•• A••••• S•••••• U• E••••• F••• | Hedge Fund | $689M | 90 | Mar 29, 2019 |
| S•••••• P••• M••••• F•••• L••• | Hedge Fund | $426M | 63 | Mar 30, 2012 |
| S•••••• P••• D••••••• F•••• L• | Hedge Fund | $191M | 23 | Mar 30, 2012 |
| I••• C••••• S•• L• | Hedge Fund | $163M | 1 | Mar 30, 2021 |
| S•••••• P••• O••••••• F•••• L••• | Hedge Fund | $117M | 20 | Mar 30, 2012 |
| S•••••• M••••• F•••• L••• | Hedge Fund | $65.8M | 20 | Mar 30, 2012 |
| D•••••••• L•••• S•••••• F••• L••••••no longer reported | Hedge Fund | $61.7M | 1 | Mar 31, 2017 |
| S•••••• A••••••••• | Hedge Fund | $45.1M | 19 | Mar 30, 2012 |
| M•••••• F••••••••• P••• O••••••• F••• L•••••• | Hedge Fund | $42.1M | 6 | Oct 22, 2013 |
| D••••• L••• S•••• E••••• 1• F•••no longer reported | Hedge Fund | $27.7M | 2 | Mar 30, 2012 |
| S•••••• P••• D••••••• F••• I•• L• | Hedge Fund | $21.1M | 20 | Mar 30, 2012 |
| S•••••• T•••• R••••• O••••••••• F•••• L• | Hedge Fund | $13.9M | 2 | Mar 30, 2016 |
| S•••••• A••••••••• I•• L•••no longer reported | Hedge Fund | $13.2M | 27 | Mar 30, 2012 |
| S•••••• C•••••• P••••••• V• L••• | Private Equity Fund | $11.6M | 82 | Mar 30, 2012 |
| S•••••• O••••••• F•••• I••• | Hedge Fund | $11.1M | 1 | Mar 30, 2012 |
| S•••••• C•••••• P••••••• V• F••• L••• | Private Equity Fund | $5.3M | 30 | Mar 30, 2012 |
| P••••• C•••••• S•••••••• O••••••••• L•••no longer reported | Hedge Fund | $3.9M | 4 | Mar 30, 2012 |
| S•••••• C•••••• P••••••• I• F••• L•••no longer reported | Private Equity Fund | $2.1M | 28 | Mar 30, 2012 |
| S•••••• C•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $1.4M | 76 | Mar 30, 2012 |
| S•••••• C•• S••• L•••no longer reported | Other Private Fund | $780,000 | 13 | Mar 30, 2012 |
| 2••• C•••••• C••••••••• P•••••••• L•••no longer reported | Private Equity Fund | $720,000 | 100 | Mar 30, 2012 |
| S•••••• T••••••••• P••••••• S••••••••• L••no longer reported | Private Equity Fund | $705,000 | 86 | Mar 30, 2012 |
| S•••••• C•••••• P••••••• V• G••••••• L••• | Private Equity Fund | $590,000 | 1 | Mar 30, 2012 |
| S•••••• T••••••••• P•••••••• L•••no longer reported | Private Equity Fund | $360,000 | 34 | Mar 30, 2012 |
| 2••• C•••••• C••••••••• T•• P•••••••• L•••no longer reported | Private Equity Fund | $240,000 | 13 | Mar 30, 2012 |
| 2••• C•••••• C••••••••• F•••••• P•••••••• L•••no longer reported | Private Equity Fund | $82,000 | 10 | Mar 30, 2012 |
| S•••••• M•••••••• P•••••••• L•••no longer reported | Private Equity Fund | $0 | 67 | Mar 30, 2012 |
| S•••••• M•••••••• T•• P•••••••• L•••no longer reported | Private Equity Fund | $0 | 17 | Mar 30, 2012 |
| S•••••• M•••••••• F•••••• P•••••••• L•••no longer reported | Private Equity Fund | $0 | 9 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• M••••••• J••••• · Managing Directorcontrolsince 01/1993 · owns less than 5%
- S••••••• A•••••• M••• · Managing Directorcontrolsince 05/1998 · owns less than 5%
- M••••••• M••••••• J••••• · Sole Shareholdercontrolsince 01/1993 · owns 75% or more of M••• C•••
- S••••••• A•••••• M••• · Sole Shareholdercontrolsince 05/1998 · owns 75% or more of A••• C•••
- B•••••••• B•••• · Managing Directorsince 01/2006 · owns less than 5%
- B•••••• W••••••• A•••••• · Managing Directorsince 11/2001 · owns less than 5%
- L••••• E•••• M•••••• · Managing Directorsince 01/2001 · owns less than 5%
- M••••• V••• · Managing Directorsince 01/2008 · owns less than 5%
- S•••••••• D••••••• E••• · Managing Directorsince 01/1999 · owns less than 5%
- S••••••• S•••••• W••••• · Chief Compliance Officersince 06/2001 · owns less than 5%
- W••••••••• S•••••• G••• · Chief Financial Officersince 02/2002 · owns less than 5%
- L••••• E•••• M•••••• · Sole Shareholdersince 01/2008 · owns 75% or more of E•• S•• C••••
- M••••• V••• · Sole Shareholdersince 01/2008 · owns 75% or more of V• S•• C••••
- S•••••••• D••••••• E••• · Sole Shareholdersince 01/1999 · owns 75% or more of S••• C•••
- W••••••••• S•••••• G••• · Sole Shareholdersince 01/2022 · owns 75% or more of S••• C••••
Entity owners
- A••• C••• · General Partnerdirect · owns 50% to 75%
- E•• S•• C•••• · General Partnerdirect · owns 5% to 10%
- M••• C••• · General Partnerdirect · owns 10% to 25%
- S••• C••• · General Partnerdirect · owns 5% to 10%
- S••• C•••• · General Partnerdirect · owns less than 5%
- V• S•• C•••• · General Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- A•• S• L••pooled vehicle sponsorn
- D•• S• L••pooled vehicle sponsorn
- S•••••• A••••••••• G•• L••pooled vehicle sponsorn
- S•••••• I••••••••• P•••••••• L•pooled vehicle sponsory
- S•••••• P••• G•• L••pooled vehicle sponsorn
- S•••••• T••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $946,870,000 to $394,980,000 (-58.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was +4.0% (1148 comparable advisers, 2.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 2.1% percentile
- employee count dropChange between filings · filing Mar 27, 2026employees (Item 5.A) moved from 27.0 to 17.0 (-37.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was 0.0% (393 comparable advisers, 5.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 5.4% percentile
What changed
consecutive filings, newest first
- Accounts · 13 to 11May 14, 2025 to Mar 27, 2026
- Advisory employees · 16 to 11May 14, 2025 to Mar 27, 2026
- Pooled vehicle clients · 13 to 11May 14, 2025 to Mar 27, 2026
- Assets in custody · $299M to $249MMay 14, 2025 to Mar 27, 2026
- Employees · 27 to 17May 14, 2025 to Mar 27, 2026
- Private funds · 13 to 11May 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $947M to $395MMay 14, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $947M to $395MMay 14, 2025 to Mar 27, 2026
- RAUM · $947M to $395MMay 14, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 14, 2025
- Accounts · 14 to 13May 6, 2024 to Mar 28, 2025
- Pooled vehicle clients · 14 to 13May 6, 2024 to Mar 28, 2025
- Assets in custody · $415M to $299MMay 6, 2024 to Mar 28, 2025
- Employees · 28 to 27May 6, 2024 to Mar 28, 2025
- Private funds · 14 to 13May 6, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.4B to $947MMay 6, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.4B to $947MMay 6, 2024 to Mar 28, 2025
- RAUM · $1.4B to $947MMay 6, 2024 to Mar 28, 2025
- Assets in custody · $512M to $415MMay 11, 2023 to Mar 28, 2024
- Employees · 27 to 28May 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.1B to $1.4BMay 11, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.1B to $1.4BMay 11, 2023 to Mar 28, 2024
- RAUM · $2.1B to $1.4BMay 11, 2023 to Mar 28, 2024
- Accounts · 15 to 14May 17, 2022 to Mar 31, 2023
- Advisory employees · 15 to 16May 17, 2022 to Mar 31, 2023
- Pooled vehicle clients · 15 to 14May 17, 2022 to Mar 31, 2023
- Assets in custody · $630M to $512MMay 17, 2022 to Mar 31, 2023
- Private funds · 13 to 14May 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.5B to $2.1BMay 17, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.5B to $2.1BMay 17, 2022 to Mar 31, 2023
- RAUM · $2.5B to $2.1BMay 17, 2022 to Mar 31, 2023
- Accounts · 16 to 15May 21, 2021 to Mar 30, 2022
- Advisory employees · 16 to 15May 21, 2021 to Mar 30, 2022
- Pooled vehicle clients · 16 to 15May 21, 2021 to Mar 30, 2022
- Assets in custody · $821M to $630MMay 21, 2021 to Mar 30, 2022
- Employees · 28 to 27May 21, 2021 to Mar 30, 2022
- Private funds · 14 to 13May 21, 2021 to Mar 30, 2022
- Discretionary RAUM · $2.6B to $2.5BMay 21, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $2.6B to $2.5BMay 21, 2021 to Mar 30, 2022
- RAUM · $2.6B to $2.5BMay 21, 2021 to Mar 30, 2022
Signals
4 dated events
- S•••••• C•••••• M••••••••• reported RAUM $395.0M, down 58% from $946.9M (2025-05-14 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- S•••••• C•••••• M••••••••• reported RAUM $946.9M, down 33% from $1.4B (2024-05-06 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- S•••••• C•••••• M••••••••• reported RAUM $1.4B, down 32% from $2.1B (2023-05-11 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- S•••••• C•••••• M••••••••• reported RAUM $2.4B, up 43% from $1.7B (2018-05-02 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S•••••• C•••••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- S•••••• C•••••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-754-8100reportedpublic record, Form ADV, May 14, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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