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

A••••••• A•••• M••••••••• L•••••

Former SEC-registered adviserStamford, ConnecticutCRD 111037SEC 801-52575IAPD
Latest filing May 1, 2015
First filing on the tape Dec 7, 2011 · 7 filings
RAUM
$11B
reported, Item 5.F
Discretionary
19%
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
24
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$11B as of Mar 25, 2015
Mar 29, 2012$7.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2015
Mar 29, 20120 then
Employees (5.A)24 as of Mar 25, 2015
Apr 1, 201334 then
Private funds2 as of Mar 25, 2015
Mar 29, 20124 then
RAUM +24% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 2015; 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
$248MderivedRAUM over accounts (5.F.2.f)
Discretionary
19%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 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
unknownderived
Compensation
percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
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)
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
45reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••••• T••••••• R••••• S••••••••• F•••• L•••no longer reportedHedge Fund$202M4Mar 29, 2012
      A•• H••• Y•••• T•••• R••••• T••••no longer reportedOther Private Fund$15.0M10Mar 29, 2012
      A•• S•••• D••••••• H••• Y•••• T••••no longer reportedOther Private Fund$9.2M14Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J•••••• M•••••• · General Counsel/Managing Directorcontrol
        since 06/2007 · owns 5% to 10%
      • C•••••••• D•••• V••••••••• · Chief Compliance Officer/Deputy General Counselcontrol
        since 03/2011 · owns less than 5%
      • C•••• E•••••• C••••••• · Senior Vice President, Portfolio Strategistcontrol
        since 09/2001 · owns 5% to 10%
      • H•••• E•••••• S••••• · Managing Directorcontrol
        since 06/1996 · owns 10% to 25%
      • S••••••• R•••••• W••••• · Chairman Of The Board/Chief Executive Officercontrol
        since 06/2007 · owns 50% to 75%
      • T••••••• D•••••• W••••• · Managing Directorcontrol
        since 06/1996 · owns 10% to 25%
      • D•••••••• M••••••• J••• · Director
        since 12/2011 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • A••••••• G••• G•• L••
        pooled vehicle sponsory
      • M••• C•••••• A•••••••• L••
        pooled vehicle sponsory
      • M••• C•••••• M••••••••• L••
        investment advisery
      • V•••••• G••••• I••••••••• L•
        investment adviseryRAUM $30.7M
      • V•••••• G••••• P••••••• L•
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Overland Park, KS
      What changed
      consecutive filings, newest first
      • Assets in custody · 0.0 to unset
        Mar 25, 2015 to May 1, 2015
      • Custody of client assets · true to false
        Mar 25, 2015 to May 1, 2015
      • Private funds · 2 to unset
        Mar 25, 2015 to May 1, 2015
      • Accounts · 43 to 45
        May 1, 2014 to Mar 25, 2015
      • Advisory employees · 15 to 13
        May 1, 2014 to Mar 25, 2015
      • Employees · 26 to 24
        May 1, 2014 to Mar 25, 2015
      • Discretionary RAUM · $1.9B to $2.1B
        May 1, 2014 to Mar 25, 2015
      • Non-discretionary RAUM · $7.1B to $9.0B
        May 1, 2014 to Mar 25, 2015
      • RAUM · $9.0B to $11B
        May 1, 2014 to Mar 25, 2015
      • Accounts · 35 to 43
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · 20 to 15
        Apr 1, 2013 to Mar 31, 2014
      • Advisory activities · 3 to 4
        Apr 1, 2013 to Mar 31, 2014
      • BD registered reps · 4 to 0
        Apr 1, 2013 to Mar 31, 2014
      • Assets in custody · unset to 0.0
        Apr 1, 2013 to Mar 31, 2014
      • Custody of client assets · false to true
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 34 to 26
        Apr 1, 2013 to Mar 31, 2014
      • Insurance-licensed employees · 2 to 0
        Apr 1, 2013 to Mar 31, 2014
      • State-registered IARs · 2 to 0
        Apr 1, 2013 to Mar 31, 2014
      • Private funds · 1 to 2
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.4B to $1.9B
        Apr 1, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $6.6B to $7.1B
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $7.9B to $9.0B
        Apr 1, 2013 to Mar 31, 2014
      • Related bank · false to true
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 43 to 35
        Mar 29, 2012 to Apr 1, 2013
      • Advisory employees · unset to 20.0
        Mar 29, 2012 to Apr 1, 2013
      • BD registered reps · 0 to 4
        Mar 29, 2012 to Apr 1, 2013
      • Employees · unset to 34.0
        Mar 29, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 2
        Mar 29, 2012 to Apr 1, 2013
      • Private funds · 4 to 1
        Mar 29, 2012 to Apr 1, 2013
      • Discretionary RAUM · $1.8B to $1.4B
        Mar 29, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $5.9B to $6.6B
        Mar 29, 2012 to Apr 1, 2013
      • RAUM · $7.7B to $7.9B
        Mar 29, 2012 to Apr 1, 2013
      • Accounts · 44 to 43
        Dec 7, 2011 to Mar 29, 2012
      • Advisory activities · 2 to 3
        Dec 7, 2011 to Mar 29, 2012
      • Insurance-licensed employees · unset to 2.0
        Dec 7, 2011 to Mar 29, 2012
      • Private funds · unset to 4
        Dec 7, 2011 to Mar 29, 2012
      • Discretionary RAUM · $2.0B to $1.8B
        Dec 7, 2011 to Mar 29, 2012
      • Non-discretionary RAUM · $5.1B to $5.9B
        Dec 7, 2011 to Mar 29, 2012
      • RAUM · $7.0B to $7.7B
        Dec 7, 2011 to Mar 29, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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