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
T•• I••••••••• M••••••••• L••
Latest filing Mar 30, 2017
First filing on the tape Mar 27, 2012 · 7 filings
RAUM
$214M
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$150M gross assets
History
7 filings and snapshots on the tape
RAUM$214M as of Mar 30, 2017
Mar 27, 2012$486M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 27, 20120 then
Employees (5.A)6 as of Mar 30, 2017
Mar 13, 201310 then
Private funds5 as of Mar 30, 2017
Mar 27, 20123 then
RAUM +110% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $23.8MderivedRAUM 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
- +110%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
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
- 9reported
- 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
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B• C•••••• E••••• F••• I• L• | Hedge Fund | $87.0M | 67 | Nov 25, 2013 |
| B• C•••••• E••••• E••••• F••• M••••• I•• L• | Hedge Fund | $29.0M | 36 | Mar 27, 2012 |
| B• C•••••• E••••• H••••••• F•••• L••• | Hedge Fund | $17.8M | 1 | Mar 27, 2015 |
| B• C•••••• E••••• E••••• F•••• L• | Hedge Fund | $13.6M | 13 | Mar 27, 2012 |
| B• C•••••• I•••••••• A••••• L•••no longer reported | Hedge Fund | $7.8M | 1 | Mar 13, 2013 |
| B• C•••••• E••••• E••••• I••••••••• H••••••• I• L•no longer reported | Hedge Fund | $6.2M | 2 | Mar 27, 2012 |
| B• C•••••• E••••• F••• L• | Hedge Fund | $2.3M | 38 | Nov 25, 2013 |
| B• C•••••• T•••• R•••••• L•••no longer reported | Hedge Fund | $0 | 1 | Mar 13, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• R•••••• D•••• · Managing Director And Vice Presidentcontrolsince 08/2001 · owns 25% to 50%
- B•••••••• B••••• T• · Member And Managercontrolsince 10/2013 · owns 10% to 25%
- G••••• D•••••• C•••••• · Chief Financial Officer And Chief Compliance Officercontrolsince 02/2005 · owns less than 5%
- M•••••• D••••• W•••••• · Member And Managercontrolsince 10/2013 · owns 10% to 25%
- P••••••• T•••••• B•••• · Chairman & Ceocontrolsince 08/2001 · owns 25% to 50%
Related persons
Schedule D 7.A
- B• C•••••• E••••• A•••••••• L••investment adviserpooled vehicle sponsornRAUM $537M
- B• C•••••• F••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $20.0M
- B• C•••••• I•••• M••••••••• L•••pooled vehicle sponsory
- B• C•••••• I••••••••• M••••••••• I•••pooled vehicle sponsorn
- B• C•••••• L•pooled vehicle sponsorn
- B• C•••••• M••••••••• L•pooled vehicle sponsorn
- B• N•••••• G•• P•••••••• L••investment adviserpooled vehicle sponsorn
- T•• M••••••••• L••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 7 to 6Mar 30, 2016 to Mar 30, 2017
- Discretionary RAUM · $102M to $214MMar 30, 2016 to Mar 30, 2017
- RAUM · $102M to $214MMar 30, 2016 to Mar 30, 2017
- Accounts · 13 to 9Mar 27, 2015 to Mar 30, 2016
- Advisory employees · 5 to 4Mar 27, 2015 to Mar 30, 2016
- Employees · 9 to 7Mar 27, 2015 to Mar 30, 2016
- Private funds · 7 to 5Mar 27, 2015 to Mar 30, 2016
- Discretionary RAUM · $430M to $102MMar 27, 2015 to Mar 30, 2016
- RAUM · $430M to $102MMar 27, 2015 to Mar 30, 2016
- Accounts · 12 to 13Mar 21, 2014 to Mar 27, 2015
- Employees · 8 to 9Mar 21, 2014 to Mar 27, 2015
- Private funds · 6 to 7Mar 21, 2014 to Mar 27, 2015
- Discretionary RAUM · $488M to $430MMar 21, 2014 to Mar 27, 2015
- RAUM · $488M to $430MMar 21, 2014 to Mar 27, 2015
- Related bank · false to trueMar 21, 2014 to Mar 27, 2015
- Accounts · 11 to 12Nov 25, 2013 to Mar 21, 2014
- Employees · 6 to 8Nov 25, 2013 to Mar 21, 2014
- Discretionary RAUM · $500M to $488MNov 25, 2013 to Mar 21, 2014
- RAUM · $500M to $488MNov 25, 2013 to Mar 21, 2014
- Related bank · true to falseNov 25, 2013 to Mar 21, 2014
- Advisory employees · 7 to 5Mar 13, 2013 to Nov 25, 2013
- Employees · 10 to 6Mar 13, 2013 to Nov 25, 2013
- Private funds · 5 to 6Mar 13, 2013 to Nov 25, 2013
- Discretionary RAUM · $278M to $500MMar 13, 2013 to Nov 25, 2013
- RAUM · $278M to $500MMar 13, 2013 to Nov 25, 2013
- Accounts · 9 to 11Mar 27, 2012 to Mar 13, 2013
- Advisory employees · unset to 7.0Mar 27, 2012 to Mar 13, 2013
- Employees · unset to 10.0Mar 27, 2012 to Mar 13, 2013
- Private funds · 3 to 5Mar 27, 2012 to Mar 13, 2013
- Discretionary RAUM · $486M to $278MMar 27, 2012 to Mar 13, 2013
- RAUM · $486M to $278MMar 27, 2012 to Mar 13, 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