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• C•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 113742SEC 801-28490IAPD
Latest filing Nov 4, 2013
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$118M gross assets
History
7 filings and snapshots on the tape
RAUM$1.1B as of Mar 25, 2013
Mar 29, 2012$3.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 41
Private funds6 as of Mar 25, 2013
Mar 29, 20126 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 4, 2013; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-69%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, subscription, performance-basedreportedItem 5.E
Advisory activities
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)
  • an independent public accountant performs a surprise examination (9.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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      F• C••••••• •••• L••• M••••••••• H••• A•••• G•• F•••Hedge Fund$69.5M2Mar 29, 2012
      F• C••••••• G••••• F•••• M••••• T•••• • M••••••••• S•••••Hedge Fund$68.7M8Mar 29, 2012
      F• C••••••• G••••• F•••• M••••• T•••• • G•• S•••••Hedge Fund$28.9M8Mar 29, 2012
      F• C••••••• G••••• F•••• M••••• T•••• I• G•• S•••••Hedge Fund$11.5M28Mar 29, 2012
      F• C••••••• •••• L••• V••••••••• J•• F•••Hedge Fund$10.2M1Mar 29, 2012
      F• C••••••• •••• L••• P••••••••• F•••Hedge Fund$9.0M2Mar 25, 2013
      F• C••••••• •••• L••• V••••••••• F•••no longer reportedHedge Fund$5.9M2Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• J•••••••• H••••••••• · Vice Chairmancontrol
        since 06/1989 · owns less than 5%
      • D••••••• R••••• · Director Of Investment Researchcontrol
        since 08/2011 · owns less than 5%
      • S•••••• R•••••• W••••• · Chief Operating Officer, Chief Compliance Officercontrol
        since 10/2013 · owns less than 5%
      • S••••••• P•••••• E• · Presidentcontrol
        since 10/2001 · owns less than 5%
      • T•••••• J••• · Chairman, Chief Executive Officer And Chief Investment Officercontrol
        since 08/1986 · owns less than 5%
      • T•••••• J••• · Chairman And Chief Executive Officercontrol
        since 12/2008 · owns 25% to 50% of International F•••••• E••••••• C•••••••, LP
      Entity owners
      • I••••••••• F•••••• E••••••• C•••••••• L••• · Owner
        direct · owns 75% or more
      • I••••••••• F•••••• E••••••• C••••••• H•••••••• I••• · General Partner
        indirect · owns 75% or more of I••••••••• F•••••• E••••••• C•••••••• L•••
      Related persons
      Schedule D 7.A
      • F• C••••••• •••••••• L•••
        banky
      • F• C••••••• T•••••• A••••••• L••
        bankn
      Offices
      Schedule D 1.F, the 25 largest
      • Pittsford, NY
      What changed
      consecutive filings, newest first
      • Accounts · 20.0 to unset
        Oct 16, 2013 to Nov 4, 2013
      • Employees · 14 to 7
        Oct 16, 2013 to Nov 4, 2013
      • Discretionary RAUM · 661168047.0 to unset
        Oct 16, 2013 to Nov 4, 2013
      • Non-discretionary RAUM · 0.0 to unset
        Oct 16, 2013 to Nov 4, 2013
      • RAUM · 661168047.0 to unset
        Oct 16, 2013 to Nov 4, 2013
      • Advisory employees · 13 to 0
        Sep 26, 2013 to Oct 16, 2013
      • Employees · 32 to 14
        Sep 26, 2013 to Oct 16, 2013
      • Accounts · 24 to 20
        Mar 25, 2013 to Sep 26, 2013
      • Employees · 41 to 32
        Mar 25, 2013 to Sep 26, 2013
      • Private funds · 6 to 4
        Mar 25, 2013 to Sep 26, 2013
      • Discretionary RAUM · $1.1B to $661M
        Mar 25, 2013 to Sep 26, 2013
      • RAUM · $1.1B to $661M
        Mar 25, 2013 to Sep 26, 2013
      • Accounts · 35 to 24
        Apr 17, 2012 to Mar 25, 2013
      • Advisory employees · unset to 13.0
        Apr 17, 2012 to Mar 25, 2013
      • Employees · unset to 41.0
        Apr 17, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 0.0
        Apr 17, 2012 to Mar 25, 2013
      • Discretionary RAUM · $3.6B to $1.1B
        Apr 17, 2012 to Mar 25, 2013
      • RAUM · $3.6B to $1.1B
        Apr 17, 2012 to Mar 25, 2013
      • Related bank · false to true
        Apr 17, 2012 to Mar 25, 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