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

S•••• B••••••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 110076SEC 801-55699IAPD

Latest filing Sep 12, 2017

First filing on the tape Mar 1, 2012 · 21 filings

RAUM

$33.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$33.1M gross assets

History

21 filings and snapshots on the tape

RAUM$43.3M as of Mar 31, 2017

Mar 19, 2012$73.7M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Mar 31, 2017

Mar 21, 20130 then

Employees (5.A)7 as of Mar 31, 2017

Mar 21, 201312 then

Private funds13 as of Mar 31, 2017

Mar 19, 201214 then

RAUM -33% over the last fiscal year-20% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Sep 12, 2017; every figure names its basis

RAUM per advisor: $33.1MderivedRAUM 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: $3.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 7.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -13%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 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: $36.1M, 13 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)
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: 9reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $36.1M for 13 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

B•••• A••• S••••• to D••••••• • D••••••• L••
Sep 18, 2006 · Other
D•••• Z••• to U•• A•••••••• L••
Nov 6, 2003 · Other

Joined, latest

none on the tape

Every departure Every arrival

Private funds

14 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
G•••••• M••••••• P••••••• L•	Hedge Fund	$22.4M	81	Mar 1, 2012
S•••• B••••••• V•••••• C•••••• I•• L••	Venture Capital Fund	$3.9M	159	Mar 1, 2012
G•••••• M••••••• P••••••• I• L••	Hedge Fund	$2.4M	31	Mar 1, 2012
S•••• B••••••• V•••••• C•••••• I•• L••	Venture Capital Fund	$1.2M	182	Mar 1, 2012
S•••• B••••••• V•••••• C•••••• L••	Venture Capital Fund	$1.1M	158	Mar 1, 2012
S•••• B••••••• V•••••• C•••••• I• L••	Venture Capital Fund	$871,268	24	Mar 1, 2012
S••••• A••••• ••••••••• L••	Hedge Fund	$658,187	65	Mar 1, 2012
S••••• A••••• L••	Hedge Fund	$390,859	63	Mar 1, 2012
K•••• • A••• B••••• P••••••• L•	Hedge Fund	$384,442	51	Mar 1, 2012
S• O••••••••• T••••••••• M••••••••• I••••••••• L••	Hedge Fund	$306,715	46	Mar 1, 2012
V•••••• P•••• P••••••• L•	Securitized Asset Fund	$288,415	17	Mar 1, 2012
S••••• I•• L••	Hedge Fund	$126,346	48	Mar 1, 2012
2•• V••••••• L••	Venture Capital Fund	$119,469	13	Mar 1, 2012
G•••••• A••••••••• L••	Venture Capital Fund	$99,200	14	Mar 1, 2012

Owners and control persons

Schedule A and B, latest filing

S••••• M•••••• S•••• · Co-Chairman Of Managercontrol
since 07/2004 · owns less than 5%
S••••• S•••••• B•••• · Co-Chairman Of Managercontrol
since 07/2004 · owns less than 5%
D••••• D••••• · Trusteecontrol
since 09/2003 · owns F of J••••• T••••
M•••••• J••• C• · Chief Compliance Officer
since 05/2017 · owns less than 5%

Entity owners

J••••• T•••• · Member
direct · owns 50% to 75%
S•••• B••••••• A•••• M••••••••• L••• · Manager
direct · owns less than 5%
T•••••• T•••• · Member
direct · owns 50% to 75%

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 · 13 to 9
Jun 2, 2017 to Sep 12, 2017
Private funds · 13 to 9
Jun 2, 2017 to Sep 12, 2017
Discretionary RAUM · $36.1M to $33.1M
Jun 2, 2017 to Sep 12, 2017
RAUM · $36.1M to $33.1M
Jun 2, 2017 to Sep 12, 2017
Assets in custody · $43.3M to $36.1M
May 25, 2017 to May 26, 2017
Discretionary RAUM · $43.3M to $36.1M
May 12, 2017 to May 25, 2017
RAUM · $43.3M to $36.1M
May 12, 2017 to May 25, 2017
Accounts · 14 to 13
Aug 10, 2016 to Mar 31, 2017
BD registered reps · 0 to 1
Aug 10, 2016 to Mar 31, 2017
Assets in custody · $46.8M to $43.3M
Aug 10, 2016 to Mar 31, 2017
Private funds · 14 to 13
Aug 10, 2016 to Mar 31, 2017
Discretionary RAUM · $49.6M to $43.3M
Aug 10, 2016 to Mar 31, 2017
RAUM · $49.6M to $43.3M
Aug 10, 2016 to Mar 31, 2017
HQ city · GREENWICH to NEW YORK
Apr 29, 2016 to Aug 10, 2016
HQ state · CT to NY
Apr 29, 2016 to Aug 10, 2016
BD registered reps · 1 to 0
Mar 30, 2016 to Apr 29, 2016
State-registered IARs · 0 to 1
Mar 30, 2016 to Apr 29, 2016
Employees · 11 to 7
Mar 30, 2015 to Jan 4, 2016
HQ city · NEW YORK to GREENWICH
Mar 30, 2015 to Jan 4, 2016
HQ state · NY to CT
Mar 30, 2015 to Jan 4, 2016
Assets in custody · $51.6M to $46.8M
Feb 24, 2015 to Mar 30, 2015
Discretionary RAUM · $64.3M to $49.6M
Feb 24, 2015 to Mar 30, 2015
RAUM · $64.3M to $49.6M
Feb 24, 2015 to Mar 30, 2015
Advisory employees · 4 to 3
Apr 12, 2013 to Mar 27, 2014
Assets in custody · $67.4M to $51.6M
Apr 12, 2013 to Mar 27, 2014
Employees · 12 to 11
Apr 12, 2013 to Mar 27, 2014
Discretionary RAUM · $72.1M to $64.3M
Apr 12, 2013 to Mar 27, 2014
RAUM · $72.1M to $64.3M
Apr 12, 2013 to Mar 27, 2014
Advisory employees · unset to 4.0
Mar 19, 2012 to Mar 21, 2013
BD registered reps · unset to 1.0
Mar 19, 2012 to Mar 21, 2013
Assets in custody · $64.7M to $67.4M
Mar 19, 2012 to Mar 21, 2013
Employees · unset to 12.0
Mar 19, 2012 to Mar 21, 2013
State-registered IARs · unset to 0.0
Mar 19, 2012 to Mar 21, 2013
Discretionary RAUM · $73.7M to $72.1M
Mar 19, 2012 to Mar 21, 2013
RAUM · $73.7M to $72.1M
Mar 19, 2012 to Mar 21, 2013

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

S•••• B••••••• A•••• M••••••••• L•• · Venture Capital
shared crd · organization

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