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

F•••••• S••••• P•••••••• L••

Former SEC-registered adviserCRD 112302SEC 801-60500IAPD
Latest filing Jun 26, 2017
First filing on the tape Jan 31, 2012 · 15 filings
RAUM
$24.8M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$15.4M gross assets
History
15 filings and snapshots on the tape
RAUM$33.7M as of Mar 21, 2017
Jan 31, 2012$712M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2017
Jan 31, 20120 then
Employees (5.A)4 as of Mar 21, 2017
Mar 5, 20138 then
Private funds3 as of Mar 21, 2017
Jan 31, 20125 then
RAUM -74% over the last fiscal year-61% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 2017; 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
$5.0MderivedRAUM 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
-65%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 feesreportedItem 5.E
Advisory activities
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)
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••• S••••• A••••••••• M•••••• F••• L••no longer reportedHedge Fund$45.5M19Jan 31, 2012
      F•••••• S••••• A••••••••• I• L••Hedge Fund$13.2M43Jan 31, 2012
      F•••••• S••••• A••••••••• O••••••• F•••• L•••no longer reportedHedge Fund$7.3M43Jan 31, 2012
      F•••••• S••••• A••••••••• M•••••• O••••••• F•••• L•••Hedge Fund$1.7M54Jan 31, 2012
      F•••••• S••••• M••••••••• O••••••• F•••• L•••Hedge Fund$495,87143Jan 31, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• E••••• W• · Principal And Chief Executive Officercontrol
        since 01/2001 · owns 50% to 75%
      • G••••• W••••••• L• · Principal, Chief Compliance Officer And Chief Investment Officercontrol
        since 04/2001 · owns 25% to 50%
      • J••••• H••••••• J••• · Principalcontrol
        since 03/2003 · owns 10% to 25%
      • S••••••••• C••••• H•••• · Chief Financial Officercontrol
        since 04/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list F•••••• S••••• P•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · DARIEN to unset
        May 17, 2017 to Jun 26, 2017
      • HQ state · CT to unset
        May 17, 2017 to Jun 26, 2017
      • Discretionary RAUM · $33.7M to $24.8M
        Mar 22, 2017 to May 17, 2017
      • RAUM · $33.7M to $24.8M
        Mar 22, 2017 to May 17, 2017
      • Accounts · 6 to 5
        Mar 16, 2016 to Mar 21, 2017
      • Advisory activities · 4 to 3
        Mar 16, 2016 to Mar 21, 2017
      • Private funds · 4 to 3
        Mar 16, 2016 to Mar 21, 2017
      • Discretionary RAUM · $95.2M to $33.7M
        Mar 16, 2016 to Mar 21, 2017
      • RAUM · $95.2M to $33.7M
        Mar 16, 2016 to Mar 21, 2017
      • Related bank · true to false
        Mar 16, 2016 to Mar 21, 2017
      • Accounts · 8 to 6
        Dec 24, 2015 to Mar 16, 2016
      • Private funds · 5 to 4
        Dec 24, 2015 to Mar 16, 2016
      • Discretionary RAUM · $121M to $95.2M
        Dec 24, 2015 to Mar 16, 2016
      • Non-discretionary RAUM · $118M to $0
        Dec 24, 2015 to Mar 16, 2016
      • RAUM · $239M to $95.2M
        Dec 24, 2015 to Mar 16, 2016
      • Advisory employees · 4 to 3
        Jun 10, 2015 to Dec 24, 2015
      • Employees · 6 to 4
        Jun 10, 2015 to Dec 24, 2015
      • HQ city · STAMFORD to DARIEN
        Jun 10, 2015 to Dec 24, 2015
      • Discretionary RAUM · $143M to $121M
        Jun 10, 2015 to Dec 24, 2015
      • Non-discretionary RAUM · $99.0M to $118M
        Jun 10, 2015 to Dec 24, 2015
      • RAUM · $242M to $239M
        Jun 10, 2015 to Dec 24, 2015
      • Accounts · 7 to 8
        Aug 21, 2014 to Feb 26, 2015
      • Employees · 9 to 6
        Aug 21, 2014 to Feb 26, 2015
      • Discretionary RAUM · $341M to $143M
        Aug 21, 2014 to Feb 26, 2015
      • Non-discretionary RAUM · $65.0M to $99.0M
        Aug 21, 2014 to Feb 26, 2015
      • RAUM · $406M to $242M
        Aug 21, 2014 to Feb 26, 2015
      • Employees · 8 to 9
        Sep 6, 2013 to Mar 5, 2014
      • Discretionary RAUM · $417M to $341M
        Sep 6, 2013 to Mar 5, 2014
      • Non-discretionary RAUM · $40.0M to $65.0M
        Sep 6, 2013 to Mar 5, 2014
      • RAUM · $457M to $406M
        Sep 6, 2013 to Mar 5, 2014
      • Advisory employees · unset to 4.0
        Jan 31, 2012 to Mar 5, 2013
      • Employees · unset to 8.0
        Jan 31, 2012 to Mar 5, 2013
      • Discretionary RAUM · $678M to $417M
        Jan 31, 2012 to Mar 5, 2013
      • Non-discretionary RAUM · $34.0M to $40.0M
        Jan 31, 2012 to Mar 5, 2013
      • RAUM · $712M to $457M
        Jan 31, 2012 to Mar 5, 2013
      Signals
      No event on the tape.
      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