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

B••••••••• C•••••• M••••••••• I••

Former SEC-registered adviserNew York, New YorkCRD 110378SEC 801-26326IAPD
Latest filing Mar 28, 2019
First filing on the tape Dec 22, 2011 · 19 filings
RAUM
$908M
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
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$889M gross assets
History
19 filings and snapshots on the tape
RAUM$908M as of Mar 28, 2019
Jun 29, 2012$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Jun 26, 20137 then
Employees (5.A)14 as of Mar 28, 2019
Jun 26, 201325 then
Private funds6 as of Mar 28, 2019
Jun 29, 20127 then
RAUM -23% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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
$130MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.0%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
-23%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$779M, 4 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$889M98%
  • Pension and profit-sharing plans$18.4M2.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$779M for 4 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••••••• P••••••• I•• L•••Hedge Fund$274M28Mar 30, 2012
      B••••••••• R•• P•••••••• L•••Hedge Fund$254M60Mar 30, 2012
      B••••••••• R•• P••••••• I•• L•••Hedge Fund$205M71Mar 30, 2012
      B••••••••• I••••••••• P••••••• M••••• F••• L•••Hedge Fund$63.3M9Mar 30, 2012
      M•••••• A•••••• I••••••••• S•••••• S••••••••• P••••••••no longer reportedHedge Fund$57.4M2Mar 30, 2012
      B••••••••• P•••••••• L•••Hedge Fund$46.8M23Mar 30, 2012
      B••••••••• R•• I••••••••• P••••••• M••••• F••• L•••Hedge Fund$46.4M10Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• P••••• D• · Chief Compliance Officer; General Counsel, Directorcontrol
        since 04/2016 · owns less than 5%
      • K•••••• D••••• B•••••• · President; Chief Executive Officer; Chief Investment Officer; Directorcontrol
        since 05/1985 · owns 50% to 75%
      • L••••• L•••••••• C• · Chairmancontrol
        since 08/1988 · owns 10% to 25%
      • S••••••••• D•••••• R• · Senior Managing Directorcontrol
        since 12/2001 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $1.0B to $779M
        Mar 28, 2018 to Mar 28, 2019
      • Employees · 13 to 14
        Mar 28, 2018 to Mar 28, 2019
      • Discretionary RAUM · $1.2B to $908M
        Mar 28, 2018 to Mar 28, 2019
      • Pension RAUM · $25.8M to $18.4M
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $1.2B to $889M
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $1.2B to $908M
        Mar 28, 2018 to Mar 28, 2019
      • Advisory employees · 7 to 6
        Oct 3, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 1.0
        Oct 3, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 6.0
        Oct 3, 2017 to Mar 28, 2018
      • Assets in custody · $123M to $1.0B
        Oct 3, 2017 to Mar 28, 2018
      • Employees · 16 to 13
        Oct 3, 2017 to Mar 28, 2018
      • Discretionary RAUM · $1.0B to $1.2B
        Oct 3, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 25793081.0
        Oct 3, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 1157312285.0
        Oct 3, 2017 to Mar 28, 2018
      • RAUM · $1.0B to $1.2B
        Oct 3, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Oct 3, 2017
      • Accounts · 9 to 7
        Apr 6, 2016 to Mar 31, 2017
      • Advisory activities · 4 to 3
        Apr 6, 2016 to Mar 31, 2017
      • Assets in custody · $713M to $123M
        Apr 6, 2016 to Mar 31, 2017
      • Employees · 18 to 16
        Apr 6, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.3B to $1.0B
        Apr 6, 2016 to Mar 31, 2017
      • RAUM · $1.3B to $1.0B
        Apr 6, 2016 to Mar 31, 2017
      • Assets in custody · $918M to $713M
        Jun 26, 2015 to Apr 6, 2016
      • Discretionary RAUM · $1.4B to $1.3B
        Jun 26, 2015 to Apr 6, 2016
      • RAUM · $1.4B to $1.3B
        Jun 26, 2015 to Apr 6, 2016
      • Advisory employees · 9 to 7
        Apr 17, 2015 to Jun 26, 2015
      • Advisory activities · 3 to 4
        Apr 17, 2015 to Jun 26, 2015
      • BD registered reps · 6 to 4
        Apr 17, 2015 to Jun 26, 2015
      • Assets in custody · $879M to $918M
        Apr 17, 2015 to Jun 26, 2015
      • Employees · 21 to 18
        Apr 17, 2015 to Jun 26, 2015
      • Discretionary RAUM · $1.2B to $1.4B
        Apr 17, 2015 to Jun 26, 2015
      • RAUM · $1.2B to $1.4B
        Apr 17, 2015 to Jun 26, 2015
      • Accounts · 10 to 9
        Oct 24, 2013 to Jun 16, 2014
      • Advisory employees · 10 to 9
        Oct 24, 2013 to Jun 16, 2014
      • BD registered reps · 7 to 6
        Oct 24, 2013 to Jun 16, 2014
      • Assets in custody · $962M to $879M
        Oct 24, 2013 to Jun 16, 2014
      • Employees · 25 to 21
        Oct 24, 2013 to Jun 16, 2014
      • Insurance-licensed employees · 2 to 0
        Oct 24, 2013 to Jun 16, 2014
      • State-registered IARs · 7 to 0
        Oct 24, 2013 to Jun 16, 2014
      • Discretionary RAUM · $1.6B to $1.2B
        Oct 24, 2013 to Jun 16, 2014
      Signals
      1 dated events
      • Jackson William Grace (Executive Vice President; Chief Operating Officer) no longer on Schedule A of B••••••••• C•••••• M••••••••• I•• (listed 2018-03-28, 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