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
R••••••••• • C• A•••• M••••••••• U• I•••
Latest filing Mar 29, 2023
First filing on the tape Feb 22, 2012 · 34 filings
RAUM
$6.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
10%
$670M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
31
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$112M gross assets
History
34 filings and snapshots on the tape
RAUM$6.5B as of Mar 29, 2023
Jun 18, 2012$3.7B then
HNW client RAUM$263M as of Mar 29, 2023
Mar 29, 2018$95.0M then
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Jun 18, 20120 then
Employees (5.A)31 as of Mar 29, 2023
Jun 24, 201331 then
Private funds3 as of Mar 29, 2023
Jun 18, 20124 then
RAUM -24% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2023; 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
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $5.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%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
- -24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $112M, 3 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.3B51%
- Pooled investment vehicles$1.2B19%
- Pension and profit-sharing plans$493M7.6%
- Individuals$407M6.3%
- Corporations and businesses$320M4.9%
- High-net-worth individuals$263M4.1%
- State and municipal entities$253M3.9%
- Charitable organizations$184M2.8%
- Individual clients
- 874reported
- HNW clients
- 116reported
- Pension plan clients
- 14reported
- Charitable clients
- 39reported
- Accounts
- 1,107reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $736M managedreported
- Custody of client assets
- $112M for 3 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
- C••••••••• M•••• T•••••• to L•••• C•••••• M••••••••• I•••Aug 11, 2015 · Other
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••••• S•••••• O••••••••• F••• L••no longer reported | Hedge Fund | $136M | 1 | Jun 30, 2016 |
| R••••••••• • C• L•••••••• C••• F•••• L••no longer reported | Other Private Fund | $38.2M | 4 | Feb 22, 2012 |
| R• A••••••••• I••••• O••••••• F••• L•••no longer reported | Hedge Fund | $35.4M | 2 | Jun 28, 2017 |
| R••••••••• S•••••• O••••••••• F••• L•••no longer reported | Hedge Fund | $32.3M | 1 | Jun 28, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• P•••••• D•••••••• · Directorcontrolsince 01/2022 · owns less than 5%
- C•••••••• D•••• V••••••••• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- J••••• T••• · Director And Chief Investment Officercontrolsince 04/2019 · owns less than 5%
- P•••••• G•••• A••• · Director And Chairman Of The Boardcontrolsince 06/2016 · owns less than 5%
Entity owners
- R••••••••• • C• N•••• A•••••• I••• · Parent Of Applicantdirect · owns 75% or more
- C•••••••• H•••••• S••• · Shareholderindirect · owns 50% to 75% of R••••••••• • C• C••••••••• H••••••• A•
- P•••• O•••••• H•••••• B••••••• S•• · Shareholderindirect · owns 75% or more of C•••••••• H•••••• S•••
- P•••• O•••••• H•••••• B••••••• S•• · Shareholderindirect · owns 25% to 50% of R••••••••• C••••••••• Holdings Ag
- R••••••••• • C• C•••••••• S•• · Shareholderindirect · owns 25% to 50% of R••••••••• • C• S•• •••••••• K•••• A• P•••• O•••••• S•••
- R••••••••• • C• C••••••••• H••••••• A• · Shareholder, Common Votingindirect · owns 75% or more of R••••••••• • C• N•••• A•••••• I•••
- R••••••••• • C• S•• •••••••• K•••• A• P•••• O•••••• S••• · Shareholderindirect · owns 75% or more of P•••• O•••••• H•••••• B••••••• S••
Related persons
Schedule D 7.A
- F••• A••••• M••••••• N•••• A•••••• L••investment advisernRAUM $3.4B
- R••••••••• • C• U• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,067 to 1,107Dec 8, 2022 to Mar 29, 2023
- Advisory employees · 17 to 15Dec 8, 2022 to Mar 29, 2023
- BD registered reps · 8 to 7Dec 8, 2022 to Mar 29, 2023
- Charity clients · 40 to 39Dec 8, 2022 to Mar 29, 2023
- Corporate clients · 36 to 34Dec 8, 2022 to Mar 29, 2023
- HNW clients · 86 to 116Dec 8, 2022 to Mar 29, 2023
- Individual clients · 859 to 874Dec 8, 2022 to Mar 29, 2023
- Pension plan clients · 15 to 14Dec 8, 2022 to Mar 29, 2023
- Pooled vehicle clients · 8 to 9Dec 8, 2022 to Mar 29, 2023
- Assets in custody · $137M to $112MDec 8, 2022 to Mar 29, 2023
- Employees · 34 to 31Dec 8, 2022 to Mar 29, 2023
- Discretionary RAUM · $8.5B to $6.5BDec 8, 2022 to Mar 29, 2023
- HNW RAUM · $275M to $263MDec 8, 2022 to Mar 29, 2023
- Individual RAUM · $468M to $407MDec 8, 2022 to Mar 29, 2023
- Pension RAUM · $720M to $493MDec 8, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $1.4B to $1.2BDec 8, 2022 to Mar 29, 2023
- RAUM · $8.5B to $6.5BDec 8, 2022 to Mar 29, 2023
- Wrap assets (manager) · $811M to $736MDec 8, 2022 to Mar 29, 2023
- HQ city · NEW YORK to STAMFORDMar 29, 2022 to Oct 27, 2022
- HQ state · NY to CTMar 29, 2022 to Oct 27, 2022
- Accounts · 1,135 to 1,067Jan 3, 2022 to Mar 29, 2022
- Advisory employees · 22 to 17Jan 3, 2022 to Mar 29, 2022
- BD registered reps · 13 to 8Jan 3, 2022 to Mar 29, 2022
- Charity clients · 44 to 40Jan 3, 2022 to Mar 29, 2022
- Corporate clients · 42 to 36Jan 3, 2022 to Mar 29, 2022
- HNW clients · 88 to 86Jan 3, 2022 to Mar 29, 2022
- Individual clients · 901 to 859Jan 3, 2022 to Mar 29, 2022
- Pension plan clients · 27 to 15Jan 3, 2022 to Mar 29, 2022
- Assets in custody · $184M to $137MJan 3, 2022 to Mar 29, 2022
- Employees · 46 to 34Jan 3, 2022 to Mar 29, 2022
- Discretionary RAUM · $7.7B to $8.5BJan 3, 2022 to Mar 29, 2022
- HNW RAUM · $233M to $275MJan 3, 2022 to Mar 29, 2022
- Individual RAUM · $388M to $468MJan 3, 2022 to Mar 29, 2022
- Pension RAUM · $833M to $720MJan 3, 2022 to Mar 29, 2022
- Pooled vehicle RAUM · $1.5B to $1.4BJan 3, 2022 to Mar 29, 2022
- RAUM · $7.7B to $8.5BJan 3, 2022 to Mar 29, 2022
- Wrap assets (manager) · $675M to $811MJan 3, 2022 to Mar 29, 2022
- Accounts · 1,455 to 1,135Oct 30, 2020 to Mar 29, 2021
- Advisory employees · 16 to 22Oct 30, 2020 to Mar 29, 2021
- BD registered reps · 18 to 13Oct 30, 2020 to Mar 29, 2021
Signals
10 dated events
- N••••• K•••••• (Chief Compliance Officer) no longer on Schedule A of R••••••••• • C• A•••• M••••••••• U• I••• (listed 2022-11-22, absent 2022-11-29)Nov 29, 2022 · Control person left · inference
- Victorovna Dina Clements (Chief Compliance Officer) appeared on Schedule A of R••••••••• • C• A•••• M••••••••• U• I•••Nov 29, 2022 · Control person joined · fact
- Pierre Baudard (Director) appeared on Schedule A of R••••••••• • C• A•••• M••••••••• U• I•••Mar 29, 2022 · Control person joined · fact
- Murray John Carroll (Director And General Counsel Of Rothschild & Co North America Inc) no longer on Schedule A of R••••••••• • C• A•••• M••••••••• U• I••• (listed 2021-03-29, absent 2022-01-03)Jan 3, 2022 · Control person left · inference
- Victorovna Dina Clements (Chief Compliance Officer) no longer on Schedule A of R••••••••• • C• A•••• M••••••••• U• I••• (listed 2021-03-29, absent 2022-01-03)Jan 3, 2022 · Control person left · inference
- N••••• K•••••• (Chief Compliance Officer) appeared on Schedule A of R••••••••• • C• A•••• M••••••••• U• I•••Jan 3, 2022 · Control person joined · fact
- Manuel James Neissa (Director) no longer on Schedule A of R••••••••• • C• A•••• M••••••••• U• I••• (listed 2020-10-30, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Maginnis Kathryn Orozco (Director, Chief Operating Officer And Head Of Risk Management) no longer on Schedule A of R••••••••• • C• A•••• M••••••••• U• I••• (listed 2020-10-30, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- Antoine Lee Lebrun (Director) no longer on Schedule A of R••••••••• • C• A•••• M••••••••• U• I••• (listed 2019-08-05, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Daniel Robert Oshinskie (Chief Investment Officer) no longer on Schedule A of R••••••••• • C• A•••• M••••••••• U• I••• (listed 2018-11-05, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
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