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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SEC-registered adviser
A•• I••••••••• C•••••• I••
Latest filing Mar 31, 2026
First filing on the tape Mar 27, 2012 · 17 filings
SEC status approved since Dec 17, 1991
RAUM
$1.3B
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
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.3B as of Mar 31, 2026
Mar 27, 2012$818M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20120 then
Employees (5.A)14 as of Mar 31, 2026
Mar 20, 201315 then
Private funds8 as of Mar 31, 2026
Mar 27, 20126 then
RAUM +19% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $165MderivedRAUM 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
- +19%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 pooled vehiclesreportedItem 5.G
- Custody
- $1.3B, 8 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)
- 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$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 8 clientsreported
- Compensation
- % of AUMreported
- 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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• S••••••••• F••• I•• Q•• L••• | Hedge Fund | $381M | 99 | Mar 27, 2012 |
| S•••••• S••••••••• T••••••••• F••• I•• L••• | Hedge Fund | $168M | 55 | Mar 27, 2012 |
| S•••••• S••••••••• L••• S••••••• F•••• L••• | Hedge Fund | $119M | 60 | Mar 27, 2012 |
| S•••••• S••••••••• C••••• F•••• L••• | Hedge Fund | $111M | 48 | Mar 27, 2012 |
| S•••••• S••••••••• P•••••• E••••• F•••• L••• | Hedge Fund | $65.7M | 32 | Mar 27, 2012 |
| S•••••• S••••••••• T••••••••• F•••• L••• | Hedge Fund | $31.6M | 36 | Mar 27, 2012 |
| L••• S••••••• I••••••••• F•••• L••• | Venture Capital Fund | $14.3M | 39 | Mar 29, 2019 |
| L••• S••••••• I••••••••• F••• I•• L••• | Venture Capital Fund | $10.8M | 35 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G••••••••• D••••• M•••••• · Presidentcontrolsince 06/2022 · owns 50% to 75%
- H•••• K••••• M••••••• · Chief Administrative Officercontrolsince 03/2024 · owns less than 5%
- R•••• D••••• A••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- S•••••••• A•••• C•••••• · Executive Vice Presidentcontrolsince 06/2022 · owns 25% to 50%
- M••••• A•••••• W•••• · Ownersince 06/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
- L••• S••••••• I••••••••• G• L••pooled vehicle sponsorn
- L• A••••••• L••pooled vehicle sponsorn
- M• A••••••• L••pooled vehicle sponsorn
- M•• A••••••• L•••••• P•••••••••pooled vehicle sponsory
- S••••••• L••pooled vehicle sponsorn
- S•• A••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $1.1B to $1.3BMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $1.3BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.1B to $1.3BMar 28, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.3BMar 28, 2025 to Mar 31, 2026
- Assets in custody · $900M to $1.1BMar 28, 2024 to Mar 28, 2025
- Employees · 15 to 14Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $900M to $1.1BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $900M to $1.1BMar 28, 2024 to Mar 28, 2025
- RAUM · $900M to $1.1BMar 28, 2024 to Mar 28, 2025
- Assets in custody · $839M to $900MMar 31, 2023 to Mar 28, 2024
- Employees · 14 to 15Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $843M to $900MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $843M to $900MMar 31, 2023 to Mar 28, 2024
- RAUM · $843M to $900MMar 31, 2023 to Mar 28, 2024
- Advisory employees · 7 to 8Aug 3, 2022 to Mar 31, 2023
- Assets in custody · $1.2B to $839MAug 3, 2022 to Mar 31, 2023
- Employees · 13 to 14Aug 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.2B to $843MAug 3, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.2B to $843MAug 3, 2022 to Mar 31, 2023
- RAUM · $1.2B to $843MAug 3, 2022 to Mar 31, 2023
- Accounts · 7 to 8Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 8 to 7Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 7 to 8Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $998M to $1.2BMar 31, 2021 to Mar 31, 2022
- Employees · 12 to 13Mar 31, 2021 to Mar 31, 2022
- Private funds · 7 to 8Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $998M to $1.2BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $998M to $1.2BMar 31, 2021 to Mar 31, 2022
- RAUM · $998M to $1.2BMar 31, 2021 to Mar 31, 2022
- Assets in custody · $636M to $998MMay 5, 2020 to Mar 31, 2021
- Employees · 14 to 12May 5, 2020 to Mar 31, 2021
- Discretionary RAUM · $636M to $998MMay 5, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $636M to $998MMay 5, 2020 to Mar 31, 2021
- RAUM · $636M to $998MMay 5, 2020 to Mar 31, 2021
- Advisory employees · 9 to 8Mar 29, 2019 to Mar 30, 2020
- Assets in custody · $553M to $636MMar 29, 2019 to Mar 30, 2020
- Employees · 15 to 14Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $553M to $636MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $553M to $636MMar 29, 2019 to Mar 30, 2020
Signals
6 dated events
- Alan David Reif (Chief Compliance Officer) appeared on Schedule A of A•• I••••••••• C•••••• I••Mar 28, 2024 · Control person joined · fact
- A•• I••••••••• C•••••• I•• reported RAUM $843.0M, down 31% from $1.2B (2022-08-03 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Eric Peter Price (Chief Operating Officer) no longer on Schedule A of A•• I••••••••• C•••••• I•• (listed 2022-08-03, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- A•• I••••••••• C•••••• I•• reported RAUM $997.7M, up 57% from $635.9M (2020-05-05 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Nmi Rose Carling (Chief Compliance Officer) no longer on Schedule A of A•• I••••••••• C•••••• I•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- M••••••• H•••• K•••• (Chief Compliance Officer) appeared on Schedule A of A•• I••••••••• C•••••• I••Mar 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- A•• I••••••••• C•••••• I•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-319-6670reportedpublic record, Form ADV, Mar 31, 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