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.
Former SEC-registered adviser
Goldpoint Partners LLC
Latest filing May 11, 2020
First filing on the tape Mar 29, 2012 · 31 filings
RAUM
$14B
reported, Item 5.F
Discretionary
98%
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
55
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
34
$4.5B gross assets
History
31 filings and snapshots on the tape
RAUM$14B as of Mar 30, 2020
Mar 29, 2012$8.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 29, 20120 then
Employees (5.A)55 as of Mar 30, 2020
Mar 28, 201344 then
Private funds34 as of Mar 30, 2020
Mar 29, 201217 then
RAUM +4.4% over the last fiscal year+4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 2020; 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
- $438MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 59%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
- +4.4%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 vehicles, selection of other advisersreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$8.0B59%
- Pooled investment vehicles$5.6B41%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- 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 |
|---|---|---|---|---|
| Goldpoint Mezzanine Partners Offshore IV, L.P. | Private Equity Fund | $146M | 55 | Mar 29, 2019 |
| Nylcap Mezzanine Offshore Partners III, L.P. | Private Equity Fund | $35.4M | 20 | Mar 29, 2019 |
| New York Life Investment Management Mezzanine Partners II, LP | Private Equity Fund | $1.5M | 28 | Mar 29, 2012 |
| Nylim Mezzanine Partners Parallel Fund, LP | Private Equity Fund | $1.2M | 3 | Mar 29, 2012 |
| New York Life Capital Partners II, L.P. | Private Equity Fund | $1.0M | 3 | Mar 29, 2012 |
| Nylcap Mezzanine Offshore Partners II, L.P. | Private Equity Fund | $488,313 | 5 | Mar 29, 2019 |
| Nylim Mezzanine Partners II Parallel Fund, LP | Private Equity Fund | $109,976 | 2 | Mar 29, 2012 |
| New York Life Investment Management Mezzanine Partners, LP | Private Equity Fund | $0 | 12 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Monroe James Barker · Executive Vice President; Chief Investment Officercontrolsince 12/1999 · owns less than 5%
- Martin Robert Barrack · Chief Operating Officercontrolsince 01/2010 · owns less than 5%
- Scott Matthew Cashion · Executive Vice Presidentcontrolsince 01/2013 · owns less than 5%
- D Sean Gelb · Chief Financial Officercontrolsince 05/2015 · owns less than 5%
- Michael Francis Harte · Elected Managercontrolsince 02/2017 · owns less than 5%
- Mark Thomas Haubenstricker · Chief Executive Officer, Elected Managercontrolsince 07/2009 · owns less than 5%
- Alexander Thomas Hendry · Elected Manager And Chairman Of The Audit Committeecontrolsince 01/2013 · owns less than 5%
- Yie-Hsin Hung · Chairman Of The Board Of Managers, Chairman Of The Compensation Committeecontrolsince 11/2010 · owns less than 5%
- James Scott Iorio · Executive Vice Presidentcontrolsince 02/2019 · owns less than 5%
- Ramsey Anthony Malloy · Elected Managercontrolsince 02/2017 · owns less than 5%
- Todd Kevin Medina · Chief Compliance Officercontrolsince 06/2016 · owns less than 5%
- William Louis Moelchert · Elected Managercontrolsince 01/2011 · owns less than 5%
- Vijay Anup Palkar · Executive Vice Presidentcontrolsince 06/2014 · owns less than 5%
- Edward John Schumacher · Chairman, Elected Managercontrolsince 07/2009 · owns less than 5%
- Harutyun Arthur Seter · Elected Managercontrolsince 06/2011 · owns less than 5%
- Michael Lorne Smith · General Counselcontrolsince 06/2015 · owns less than 5%
- Wells Christopher Taylor · Elected Managercontrolsince 05/2020 · owns less than 5%
- Jae Sung Yoon · Elected Managercontrolsince 04/2017 · owns less than 5%
Entity owners
- New York Life Investments Alternatives LLC · Sole Member/Direct & Sole Interest Holderdirect · owns 75% or more
- New York Life Insurance Company · Indirect Interest Holderindirect · owns 75% or more of New York Life Investment Management Holdings LLC
- New York Life Investment Management Holdings LLC · Indirect Interest Holderindirect · owns 75% or more of New York Life Investments Alternatives LLC
Related persons
Schedule D 7.A
- Ausbil Investment Management Limitedinvestment adviserbankpooled vehicle sponsornRAUM $14B
- Candriam Luxembourg S.C.Ainvestment adviserbankpooled vehicle sponsorn
- Candrium Belgium S.A.investment adviserbankpooled vehicle sponsorn
- Candrium France Sasinvestment adviserbankpooled vehicle sponsorn
- Credit Value Partners, LLCinvestment adviserbankpooled vehicle sponsornRAUM $162M
- Goldpoint Mezzanine Partners IV Genpar Gp, LLCpooled vehicle sponsory
- Goldpoint Mezzanine Partners IV Genpar, LPpooled vehicle sponsory
- Goldpoint Partners C0-Investment V Genpar Gp LLCpooled vehicle sponsory
- Goldpoint Partners C0-Investment V Genpar, LPpooled vehicle sponsory
- Goldpoint Partners Canada Genpar Inc.pooled vehicle sponsory
- Goldpoint Partners Canada III Genpar Inc.pooled vehicle sponsory
- Goldpoint Partners Co-Investment Vi Genpar, L.P.pooled vehicle sponsory
- Goldpoint Partners Private Debt V Genpar, LPbroker-dealerinvestment adviserpooled vehicle sponsory
- Goldpoint Partners Select Manager III Genpar Gp, LLCpooled vehicle sponsory
- Goldpoint Partners Select Manager III Genpar, L.P.pooled vehicle sponsory
- Goldpoint Partners Select Manager IV Genpar Gp, LLCpooled vehicle sponsory
- Goldpoint Partners Select Manager IV Genpar, L.P.pooled vehicle sponsory
- Goldpoint Private Credit Genpar, LPpooled vehicle sponsory
- Indexiq Advisors LLCinvestment adviserbanknRAUM $10B
- Mackay Shields LLCinvestment adviserbankpooled vehicle sponsornRAUM $160B
- Madison Capital Funding LLCinvestment advisernRAUM $3.7B
- New York Life Capital Partners II, L.L.C.pooled vehicle sponsory
- New York Life Capital Partners III Genpar Gp, LLCpooled vehicle sponsory
- New York Life Capital Partners III Genpar, L.P.pooled vehicle sponsory
- New York Life Capital Partners IV Genpar Gp, LLCpooled vehicle sponsory
- New York Life Capital Partners IV Genpar L.P.pooled vehicle sponsory
- New York Life Capital Partners, L.L.C.pooled vehicle sponsory
- New York Life Insurance And Annuity Corporationbankreal estaten
- New York Life Insurance Co.real estatey
- New York Life Investment Management Asia Limitedinvestment advisern
Advisers that list Goldpoint Partners LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 34 to 31May 31, 2019 to Mar 30, 2020
- Advisory employees · 17 to 18May 31, 2019 to Mar 30, 2020
- BD registered reps · 11 to 9May 31, 2019 to Mar 30, 2020
- Pooled vehicle clients · 33 to 30May 31, 2019 to Mar 30, 2020
- Assets in custody · $5.0B to $5.6BMay 31, 2019 to Mar 30, 2020
- Employees · 51 to 55May 31, 2019 to Mar 30, 2020
- Private funds · 33 to 34May 31, 2019 to Mar 30, 2020
- Discretionary RAUM · $13B to $13BMay 31, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $239M to $215MMay 31, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $5.0B to $5.6BMay 31, 2019 to Mar 30, 2020
- RAUM · $13B to $14BMay 31, 2019 to Mar 30, 2020
- Advisory employees · 18 to 17Mar 29, 2019 to May 31, 2019
- Employees · 52 to 51Mar 29, 2019 to May 31, 2019
- Accounts · 30 to 34Mar 28, 2018 to Mar 29, 2019
- Advisory employees · 15 to 18Mar 28, 2018 to Mar 29, 2019
- Pooled vehicle clients · 29 to 33Mar 28, 2018 to Mar 29, 2019
- Assets in custody · $4.5B to $5.0BMar 28, 2018 to Mar 29, 2019
- Employees · 50 to 52Mar 28, 2018 to Mar 29, 2019
- Private funds · 29 to 33Mar 28, 2018 to Mar 29, 2019
- Discretionary RAUM · $12B to $13BMar 28, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $101M to $239MMar 28, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $4.5B to $5.0BMar 28, 2018 to Mar 29, 2019
- RAUM · $12B to $13BMar 28, 2018 to Mar 29, 2019
- Accounts · 29 to 30May 25, 2017 to Mar 28, 2018
- Advisory employees · 16 to 15May 25, 2017 to Mar 28, 2018
- BD registered reps · 10 to 11May 25, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 29.0May 25, 2017 to Mar 28, 2018
- Assets in custody · $2.2B to $4.5BMay 25, 2017 to Mar 28, 2018
- Employees · 49 to 50May 25, 2017 to Mar 28, 2018
- Other offices · unset to 0.0May 25, 2017 to Mar 28, 2018
- Private funds · 26 to 29May 25, 2017 to Mar 28, 2018
- Discretionary RAUM · $12B to $12BMay 25, 2017 to Mar 28, 2018
- Individual RAUM · unset to 0.0May 25, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $0 to $101MMay 25, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 4516908947.0May 25, 2017 to Mar 28, 2018
- RAUM · $12B to $12BMay 25, 2017 to Mar 28, 2018
- Accounts · 27 to 29Jul 12, 2016 to Mar 27, 2017
- BD registered reps · 11 to 10Jul 12, 2016 to Mar 27, 2017
- Employees · 48 to 49Jul 12, 2016 to Mar 27, 2017
- Private funds · 23 to 26Jul 12, 2016 to Mar 27, 2017
Signals
4 dated events
- Wells Christopher Taylor (Elected Manager) appeared on Schedule A of Goldpoint Partners LlcMay 11, 2020 · Control person joined · fact
- David Scott Higbee (Executive Officer) no longer on Schedule A of Goldpoint Partners Llc (listed 2019-05-31, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Sari Amanda Parness (Executive Vice President) no longer on Schedule A of Goldpoint Partners Llc (listed 2019-03-29, absent 2019-05-31)May 31, 2019 · Control person left · inference
- James Scott Iorio (Executive Vice President) appeared on Schedule A of Goldpoint Partners LlcMar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Goldpoint Partners LLC · Private Equityshared crd · organization
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