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
M••••••• R••••••••• C•••••••••
Latest filing Mar 4, 2020
First filing on the tape Mar 28, 2012 · 14 filings
RAUM
$4.3B
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
51
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$169M gross assets
History
14 filings and snapshots on the tape
RAUM$4.3B as of Mar 26, 2019
Mar 28, 2012$533M then
HNW client RAUM$0 as of Mar 26, 2019
Mar 19, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Mar 20, 20130 then
Employees (5.A)51 as of Mar 26, 2019
Mar 20, 201319 then
Private funds3 as of Mar 26, 2019
Mar 28, 20124 then
RAUM +4.5% over the last fiscal year+89% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 4, 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
- $861MderivedRAUM 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
- +4.5%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
- financial planning, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Custody
- $411M, 6 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$4.1B96%
- Pooled investment vehicles$169M3.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $411M for 6 clientsreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• H•••• F••• L•no longer reported | Hedge Fund | $81.8M | 59 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• H••••• · Co-Chairmancontrolsince 06/1978 · owns 25% to 50%
- B••••••••• G••••• R•••••• · President, Chief Operating Officer & Chief Financial Officercontrolsince 11/2015 · owns 5% to 10%
- C••••••• G•••••• E•••• · Co-Chairmancontrolsince 04/1983 · owns 25% to 50%
- F••••••••• S•••••• M••• · General Counsel And Chief Compliance Officercontrolsince 01/2004 · owns less than 5%
- F••••••••• M•••• B•••• · Senior Vice Presidentcontrolsince 01/2006 · owns less than 5%
- G••••••• B••••• A••• · Co-Chief Executive Officer, Executive Director Of Tradingcontrolsince 11/2015 · owns 10% to 25%
- S••••• G••••• N••••• · Co-Chief Executive Officer, Chief Investment Officercontrolsince 11/2015 · owns 10% to 25%
Entity owners
- R•••••••• Q••• T•••• E••••••••• U•••• T•• D••••• B•••••• N••••• R•••••••• T•••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- M••••••• I••••••••• ••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 18Jan 8, 2019 to Mar 26, 2019
- Pooled vehicle clients · 4 to 3Jan 8, 2019 to Mar 26, 2019
- Assets in custody · $471M to $411MJan 8, 2019 to Mar 26, 2019
- Employees · 15 to 51Jan 8, 2019 to Mar 26, 2019
- Discretionary RAUM · $4.1B to $4.3BJan 8, 2019 to Mar 26, 2019
- Pooled vehicle RAUM · $195M to $169MJan 8, 2019 to Mar 26, 2019
- RAUM · $4.1B to $4.3BJan 8, 2019 to Mar 26, 2019
- HQ city · GREENWICH to NEW YORKMar 19, 2018 to Jan 8, 2019
- HQ state · CT to NYMar 19, 2018 to Jan 8, 2019
- Related bank · true to falseMar 19, 2018 to Jan 8, 2019
- Accounts · 9 to 5Mar 27, 2017 to Mar 19, 2018
- Pooled vehicle clients · unset to 4.0Mar 27, 2017 to Mar 19, 2018
- Assets in custody · $457M to $471MMar 27, 2017 to Mar 19, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 19, 2018
- Discretionary RAUM · $1.4B to $4.1BMar 27, 2017 to Mar 19, 2018
- HNW RAUM · unset to 0.0Mar 27, 2017 to Mar 19, 2018
- Individual RAUM · unset to 0.0Mar 27, 2017 to Mar 19, 2018
- Non-discretionary RAUM · $286M to $0Mar 27, 2017 to Mar 19, 2018
- Pension RAUM · unset to 0.0Mar 27, 2017 to Mar 19, 2018
- Pooled vehicle RAUM · unset to 194598547.0Mar 27, 2017 to Mar 19, 2018
- RAUM · $1.7B to $4.1BMar 27, 2017 to Mar 19, 2018
- Accounts · 10 to 9Mar 23, 2016 to Mar 20, 2017
- Assets in custody · $436M to $457MMar 23, 2016 to Mar 20, 2017
- Employees · 16 to 15Mar 23, 2016 to Mar 20, 2017
- Discretionary RAUM · $394M to $1.4BMar 23, 2016 to Mar 20, 2017
- Non-discretionary RAUM · $238M to $286MMar 23, 2016 to Mar 20, 2017
- RAUM · $633M to $1.7BMar 23, 2016 to Mar 20, 2017
- Accounts · 8 to 10Mar 23, 2015 to Mar 23, 2016
- Advisory activities · 4 to 6Mar 23, 2015 to Mar 23, 2016
- Assets in custody · $542M to $436MMar 23, 2015 to Mar 23, 2016
- Employees · 15 to 16Mar 23, 2015 to Mar 23, 2016
- Private funds · 4 to 3Mar 23, 2015 to Mar 23, 2016
- Discretionary RAUM · $285M to $394MMar 23, 2015 to Mar 23, 2016
- Non-discretionary RAUM · $257M to $238MMar 23, 2015 to Mar 23, 2016
- RAUM · $542M to $633MMar 23, 2015 to Mar 23, 2016
- Advisory employees · 5 to 6Mar 19, 2014 to Mar 23, 2015
- Assets in custody · $521M to $542MMar 19, 2014 to Mar 23, 2015
- Employees · 16 to 15Mar 19, 2014 to Mar 23, 2015
- Discretionary RAUM · $275M to $285MMar 19, 2014 to Mar 23, 2015
- Non-discretionary RAUM · $246M to $257MMar 19, 2014 to Mar 23, 2015
Signals
1 dated events
- M••••••• R••••••••• C••••••••• reported RAUM $4.1B, up 138% from $1.7B (2017-03-27 to 2018-03-19)Mar 19, 2018 · RAUM change · derived
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