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

A•••• A•••• M••••••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 117773SEC 801-61080IAPD
Latest filing Jan 9, 2018
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$9.3B
reported, Item 5.F
Discretionary
27%
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
377
80 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
7
$335M gross assets
History
19 filings and snapshots on the tape
RAUM$9.3B as of Mar 30, 2017
Mar 30, 2012$7.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 26, 20130 then
Employees (5.A)377 as of Mar 30, 2017
Mar 26, 201358 then
Private funds7 as of Mar 30, 2017
Mar 30, 201227 then
RAUM -16% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 9, 2018; 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
$291MderivedRAUM over accounts (5.F.2.f)
Discretionary
27%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-16%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 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 advisersreportedItem 5.G
Custody
$299M, 12 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
  • 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)
  • 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
$299M for 12 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
      25 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••• M••••• F••• L•••Hedge Fund$369M1Mar 30, 2012
      A•• H••••••• I• L••no longer reportedHedge Fund$251M1Mar 30, 2012
      A•••• D••••••••• C••••••• L•••Hedge Fund$203M1Mar 30, 2012
      A•••• K••••••• P••••••• L•Hedge Fund$146M1Mar 31, 2014
      A•••• S•••••••• I••••••••• F••• L••Hedge Fund$125M1Mar 26, 2013
      A•••• P••••••••• G••••• M•••• M•••••• L•no longer reportedHedge Fund$122M10Mar 30, 2012
      A•••• S•••••••• I••••••••• F••• L••Hedge Fund$75.7M1Mar 31, 2015
      N•• P•••••• L••Hedge Fund$74.1M1Mar 30, 2012
      A•••• S••• L•••• C•• E••••• P••••••• A•••• F••• L•••no longer reportedHedge Fund$68.5M1Mar 30, 2012
      A•••• C••••• O••••••••• F••• L•••no longer reportedHedge Fund$66.1M1Mar 30, 2012
      A•••• A••• P••••••• L•••no longer reportedHedge Fund$60.1M1Mar 30, 2012
      A•••• O••••••• A••••••• L•••Hedge Fund$50.4M1Mar 30, 2012
      A•••• P••••••••• E••••• L••••••••• M•••••• L•no longer reportedHedge Fund$34.1M2Mar 30, 2012
      A•••• F•••••• G••••• M•••• F•••• L•Hedge Fund$32.7M42Mar 30, 2012
      A•••• E•••• P••••••• A•••• S••no longer reportedHedge Fund$26.8M2Mar 30, 2012
      A•••• P••••••••• G••••• M••••• L•no longer reportedHedge Fund$25.9M6Mar 30, 2012
      A•••• I••••••••• F•••• L•Hedge Fund$22.5M2Mar 30, 2012
      A•••• P••••••••• S••••• M•••••• L•no longer reportedHedge Fund$20.5M1Mar 30, 2012
      B•• S•• F••• L•••Hedge Fund$11.8M1Mar 30, 2012
      A•••• O••••••••• F••• L•••Hedge Fund$8.3M2Mar 30, 2012
      A•••• P•••••• P••••••• I• F••• L•••Hedge Fund$8.0M1Mar 30, 2012
      R••••••••• P••••••• F•••• L•no longer reportedHedge Fund$6.9M1Mar 30, 2012
      A•••• I••••••••• N• L•Hedge Fund$4.3M1Mar 26, 2013
      A•••• P•• F•••• L•••Hedge Fund$1.4M3Mar 26, 2013
      A••• O••••••• F••• L•••no longer reportedOther Private Fund$01Mar 26, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J••••••• L••••••• · Chief Compliance Officercontrol
        since 12/2015 · owns less than 5%
      • D••••••••• C••••••••• T••••• · Chief Financial Officercontrol
        since 12/2015 · owns less than 5%
      • G••••••• A•••• R•••• · Vice Presidentcontrol
        since 12/2015 · owns less than 5%
      • H•••••• B•••••••• •••• · Presidentcontrol
        since 12/2015 · owns less than 5%
      • N••••••• J•••••••• A•• · Vice Presidentcontrol
        since 12/2015 · owns less than 5%
      Entity owners
      • A••••••• A•••• M••••••••• I••• · Member
        direct · owns 75% or more
      • A••••••• A•••• M••••••••• P•• · Shareholder
        indirect · owns 75% or more of A••••••• A•••• M••••••••• I•••
      • S••••••• L••• A••••••• P•• · Shareholder
        indirect · owns 75% or more of A••••••• A•••• M••••••••• P••
      Related persons
      Schedule D 7.A
      • A••••••• A•• L••
        pooled vehicle sponsorn
      • Abrdn Investments L••••••
        investment advisernRAUM $207B
      • A••••••• A•••• I••••••••• L••••••
        investment advisern
      • Abrdn A••• L••••••
        investment advisernRAUM $40B
      • A••••••• A•••• M••••••••• C••••• L••••••
        investment advisern
      • A••••••• A•••• M••••••••• C••••• L••••••
        pooled vehicle sponsorn
      • A••••••• A•••• M••••••••• C•••••• L••••••
        investment advisern
      • A••••••• A•••• M••••••••• D•••••• A••
        investment advisern
      • A••••••• A•••• M••••••••• D••••••••• A•
        investment advisern
      • A••••••• A•••• M••••••••• F•••••• O•
        investment advisern
      • A••••••• A•••• M••••••••• G•••••• S••
        investment advisern
      • A••••••• A•••• M••••••••• G• C•••••• L••
        pooled vehicle sponsory
      • A••••••• A•••• M••••••••• H•••••• A••••••••• Z••
        investment advisern
      • Abrdn Inc.
        investment adviserbanknRAUM $41B
      • A••••••• A•••• M••••••••• L••• A•• P••••••• L••••••
        real estaten
      • Abrdn Australia L••••••
        investment advisernRAUM $2.4B
      • A••••••• A•••• M••••••••• N••••• A•
        investment advisern
      • A••••••• A•••• M••••••••• O••••••••• A•
        investment advisern
      • A••••••• A•••• M••••••••• S••• B••
        investment advisern
      • A••••••• A•••• M••••••••• S••••••• L••••••
        investment advisern
      • A••••••• A•••• M••••••• ••••••••• S•••••••
        pooled vehicle sponsorn
      • A••••••• A•••• M••••••• S••••••••• A•
        broker-dealern
      • A••••••• A•••• M••••• E••• L••••••
        broker-dealern
      • Highvista P•••••• Capital Management LLC
        investment advisernRAUM $6.5B
      • A••••••• C••••• A••••••••• I••
        n
      • A••••••• D• B••••• G••••• D• R••••••• L•••
        investment advisern
      • A••••••• E••••• • R•••••••• C•••••• I•• L••
        pooled vehicle sponsorn
      • A••••••• E••••••• B••••••• P••••••• F••• S••••
        pooled vehicle sponsorn
      • A••••••• E••••••• I••••••••• C•••• G• L••••••
        pooled vehicle sponsorn
      • A••••••• E••••••• I••••••••• G• I• L••••••
        pooled vehicle sponsorn
      Advisers that list A•••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY31 employees
      • Boston, MA13 employees
      • Stamford, CT10 employees
      What changed
      consecutive filings, newest first
      • Other offices · unset to 3.0
        Aug 28, 2017 to Jan 9, 2018
      • Accounts · 40 to 32
        Jan 27, 2017 to Mar 30, 2017
      • Advisory employees · 104 to 80
        Jan 27, 2017 to Mar 30, 2017
      • BD registered reps · 97 to 89
        Jan 27, 2017 to Mar 30, 2017
      • Assets in custody · $0 to $299M
        Jan 27, 2017 to Mar 30, 2017
      • Employees · 416 to 377
        Jan 27, 2017 to Mar 30, 2017
      • HQ city · NEW YORK to PHILADELPHIA
        Jan 27, 2017 to Mar 30, 2017
      • HQ state · NY to PA
        Jan 27, 2017 to Mar 30, 2017
      • Private funds · 5 to 7
        Jan 27, 2017 to Mar 30, 2017
      • Discretionary RAUM · $5.1B to $2.5B
        Jan 27, 2017 to Mar 30, 2017
      • Non-discretionary RAUM · $6.0B to $6.8B
        Jan 27, 2017 to Mar 30, 2017
      • RAUM · $11B to $9.3B
        Jan 27, 2017 to Mar 30, 2017
      • Related insurance company · true to false
        Jan 27, 2017 to Mar 30, 2017
      • Private funds · 18 to 5
        Dec 22, 2016 to Jan 27, 2017
      • Accounts · 44 to 40
        Feb 2, 2016 to Mar 30, 2016
      • Advisory employees · 18 to 104
        Feb 2, 2016 to Mar 30, 2016
      • Advisory activities · 5 to 4
        Feb 2, 2016 to Mar 30, 2016
      • BD registered reps · 7 to 97
        Feb 2, 2016 to Mar 30, 2016
      • Employees · 50 to 416
        Feb 2, 2016 to Mar 30, 2016
      • Private funds · 19 to 18
        Feb 2, 2016 to Mar 30, 2016
      • Discretionary RAUM · $5.9B to $5.1B
        Feb 2, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · $5.5B to $6.0B
        Feb 2, 2016 to Mar 30, 2016
      • RAUM · $11B to $11B
        Feb 2, 2016 to Mar 30, 2016
      • Related bank · false to true
        Feb 2, 2016 to Mar 30, 2016
      • Related broker-dealer · false to true
        Feb 2, 2016 to Mar 30, 2016
      • Related insurance company · false to true
        Feb 2, 2016 to Mar 30, 2016
      • Advisory employees · 17 to 18
        Nov 11, 2014 to Mar 31, 2015
      • Advisory activities · 4 to 5
        Nov 11, 2014 to Mar 31, 2015
      • BD registered reps · 6 to 7
        Nov 11, 2014 to Mar 31, 2015
      • Employees · 53 to 50
        Nov 11, 2014 to Mar 31, 2015
      • Private funds · 22 to 19
        Nov 11, 2014 to Mar 31, 2015
      • Discretionary RAUM · $6.3B to $5.9B
        Nov 11, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $0 to $5.5B
        Nov 11, 2014 to Mar 31, 2015
      • RAUM · $6.3B to $11B
        Nov 11, 2014 to Mar 31, 2015
      • Advisory employees · 20 to 17
        Mar 26, 2013 to Mar 31, 2014
      • Employees · 58 to 53
        Mar 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $7.0B to $6.3B
        Mar 26, 2013 to Mar 31, 2014
      • RAUM · $7.0B to $6.3B
        Mar 26, 2013 to Mar 31, 2014
      • Accounts · 48 to 44
        Jan 23, 2013 to Mar 26, 2013
      • Advisory activities · 3 to 4
        Jan 23, 2013 to Mar 26, 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