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

N• A••••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 117035SEC 801-60730IAPD
Latest filing Oct 20, 2016
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$3.4B
reported, Item 5.F
Discretionary
61%
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
39
17 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
13
$1.4B gross assets
History
13 filings and snapshots on the tape
RAUM$3.4B as of Mar 30, 2016
Mar 30, 2012$3.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)20 as of Mar 30, 2016
Mar 28, 201318 then
Employees (5.A)39 as of Mar 30, 2016
Mar 28, 201345 then
Private funds13 as of Mar 30, 2016
Mar 30, 201222 then
RAUM -19% over the last fiscal year+7.0% a year over threeIARs 16 to 20
Practice profile
derived from the filing of Oct 20, 2016; every figure names its basis
RAUM per advisor
$170MderivedRAUM 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
$106MderivedRAUM over accounts (5.F.2.f)
Discretionary
61%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
10.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-19%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$1.5B, 23 clientsreportedItem 9.A
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
32reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.5B for 23 clientsreported
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
      18 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N• O••••••• D••••••••• A•••••••• F••• I•• L•••Hedge Fund$105M1Mar 30, 2012
      N• D••••••••• A•••••••• F••• I• L•••Hedge Fund$105M60Mar 30, 2012
      N• O••••••• D••••••••• A•••••••• F••• I• L•••Hedge Fund$99.5M15Mar 30, 2012
      N• D••••••••• A•••••••• F••• •••••••• P••no longer reportedHedge Fund$60.3M6Mar 30, 2012
      N• D••••••••• A•••••••• F••• L•••Hedge Fund$34.3M35Mar 30, 2012
      N• S••••••••• F••• L•••no longer reportedHedge Fund$11.0M130Mar 30, 2012
      N• O••••••• D••••••••• A•••••••• F••• L•••Hedge Fund$11.0M13Mar 30, 2012
      N• A•••• C•••••• M••••• F••• L•••Hedge Fund$10.5M11Mar 31, 2014
      N• L••••••••• M••••• F••• L••no longer reportedHedge Fund$6.3M2Mar 30, 2012
      S••••••••• E••••••• F••• L•no longer reportedHedge Fund$5.0M421Mar 30, 2012
      L••••• B••••••• B••••••• F•••• L•••no longer reportedHedge Fund$3.4M6Mar 30, 2012
      N• O••••••• L••••••••• M••••• F••• L•••no longer reportedHedge Fund$3.4M2Mar 30, 2012
      N• L••••••••• F••• L•••no longer reportedHedge Fund$3.2M15Mar 30, 2012
      N• O••••••• L••••••••• F••• I• L•••no longer reportedHedge Fund$2.7M2Mar 30, 2012
      N• L••••••••• F••• I• L•no longer reportedHedge Fund$2.3M10Mar 30, 2012
      O••••••••• F••• S••••••••• P•••••••• C••••••Hedge Fund$1.7M1Feb 22, 2013
      N• S••••••••• F••• L•••no longer reportedHedge Fund$1.1M39Mar 30, 2012
      N• O••••••• L••••••••• F••• L•••no longer reportedHedge Fund$530,6084Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••••• D••••• G••••• · Co-Headcontrol
        since 11/2013 · owns less than 5%
      • M••••• J••••••• A••• · Co-Headcontrol
        since 11/2013 · owns less than 5%
      • D•••••• P••••••• S• · Chief Operating Officer
        since 10/2015 · owns less than 5%
      • F••••• Y•••• · Chief Compliance Officer
        since 03/2013 · owns less than 5%
      • T•••••• I•• A••••••• D•••• · Chief Executive Officer
        since 05/2009 · owns less than 5%
      Entity owners
      • N• A••••••••• H••••••• L•• · Member
        direct · owns 75% or more
      • N••• A••••••••• L•• · Member
        indirect · owns 75% or more of N•••••••• B••••• G•••• L••
      • N•••••••• B••••• G•••• L•• · Holding Company
        indirect · owns 75% or more of N• A••••••••• H••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list N• A••••••••• I••••••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Los Angeles, CA
      What changed
      consecutive filings, newest first
      • Accounts · 35 to 32
        Jan 4, 2016 to Mar 30, 2016
      • Advisory employees · 16 to 17
        Jan 4, 2016 to Mar 30, 2016
      • Advisory activities · 6 to 5
        Jan 4, 2016 to Mar 30, 2016
      • BD registered reps · 18 to 21
        Jan 4, 2016 to Mar 30, 2016
      • Assets in custody · $1.7B to $1.5B
        Jan 4, 2016 to Mar 30, 2016
      • Insurance-licensed employees · 16 to 20
        Jan 4, 2016 to Mar 30, 2016
      • State-registered IARs · 16 to 20
        Jan 4, 2016 to Mar 30, 2016
      • Discretionary RAUM · $4.2B to $2.1B
        Jan 4, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · $15.8M to $1.3B
        Jan 4, 2016 to Mar 30, 2016
      • RAUM · $4.2B to $3.4B
        Jan 4, 2016 to Mar 30, 2016
      • Advisory employees · 12 to 16
        Nov 24, 2014 to Mar 31, 2015
      • Assets in custody · $1.6B to $1.7B
        Nov 24, 2014 to Mar 31, 2015
      • Employees · 35 to 39
        Nov 24, 2014 to Mar 31, 2015
      • Private funds · 14 to 13
        Nov 24, 2014 to Mar 31, 2015
      • Discretionary RAUM · $2.8B to $4.2B
        Nov 24, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $165M to $15.8M
        Nov 24, 2014 to Mar 31, 2015
      • RAUM · $2.9B to $4.2B
        Nov 24, 2014 to Mar 31, 2015
      • Accounts · 32 to 35
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · 16 to 12
        Mar 28, 2013 to Mar 31, 2014
      • BD registered reps · 20 to 18
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $1.6B to $1.6B
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 45 to 35
        Mar 28, 2013 to Mar 31, 2014
      • Insurance-licensed employees · 18 to 16
        Mar 28, 2013 to Mar 31, 2014
      • State-registered IARs · 18 to 16
        Mar 28, 2013 to Mar 31, 2014
      • Private funds · 17 to 14
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $2.3B to $2.8B
        Mar 28, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $512M to $165M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $2.8B to $2.9B
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 35 to 32
        Feb 22, 2013 to Mar 28, 2013
      • Advisory employees · 17 to 16
        Feb 22, 2013 to Mar 28, 2013
      • Advisory activities · 5 to 6
        Feb 22, 2013 to Mar 28, 2013
      • BD registered reps · 17 to 20
        Feb 22, 2013 to Mar 28, 2013
      • Assets in custody · $1.7B to $1.6B
        Feb 22, 2013 to Mar 28, 2013
      • Employees · 50 to 45
        Feb 22, 2013 to Mar 28, 2013
      • Insurance-licensed employees · 13 to 18
        Feb 22, 2013 to Mar 28, 2013
      • State-registered IARs · 13 to 18
        Feb 22, 2013 to Mar 28, 2013
      • Private funds · 23 to 17
        Feb 22, 2013 to Mar 28, 2013
      • Discretionary RAUM · $2.3B to $2.3B
        Feb 22, 2013 to Mar 28, 2013
      • Non-discretionary RAUM · $1.4B to $512M
        Feb 22, 2013 to Mar 28, 2013
      • RAUM · $3.6B to $2.8B
        Feb 22, 2013 to Mar 28, 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