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

Hatteras Alternative Mutual Funds, LLC

Former SEC-registered adviserRaleigh, North CarolinaCRD 120325SEC 801-61090IAPD
Latest filing Mar 28, 2014
First filing on the tape Nov 11, 2011 · 6 filings
RAUM
$2.8B
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
40
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$2.8B as of Mar 28, 2014
Mar 29, 2012$579M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 28, 2014
Mar 29, 20120 then
Employees (5.A)40 as of Mar 28, 2014
Mar 28, 201345 then
Private funds: no history
RAUM +85% over the last fiscal yearIARs 12 to 8
Practice profile
derived from the filing of Mar 28, 2014; every figure names its basis
RAUM per advisor
$350MderivedRAUM 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
$1.4BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+85%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Brien David Perkins · Managing Membercontrol
        since 09/2007 · owns 50% to 75% of Hatteras Capital Investment Management, LLC
      • Eric Michael Portnoy · Treasurer And Secretarycontrol
        since 07/1989 · owns 50% to 75% of Trust Advisory Group
      • Richard Mark Tonucci · Presidentcontrol
        since 07/1989 · owns 50% to 75% of Trust Advisory Group
      • Lance Robert Baker · Cfo
        since 09/2009 · owns less than 5%
      • Paul Andrew Chica · Chief Compliance Officer
        since 09/2009 · owns less than 5%
      • Michael James Fields · Coo
        since 09/2009 · owns less than 5%
      • Brien David Perkins · Ceo/Managing Member
        since 02/2012 · owns less than 5%
      • William Lee Schultheis · Member
        since 09/2012 · owns 10% to 25%
      Entity owners
      • Hatteras Capital Investment Management, LLC · Member
        direct · owns 25% to 50%
      • Asset Alliance Corporation · Owner
        indirect · owns 25% to 50% of Asset Alliance Holding Corp.
      • Asset Alliance Corporation · Owner
        indirect · owns 25% to 50% of Asset Alliance (Ny) Management, Inc.
      • Asset Alliance (Ny) Management Corp. · Member
        direct · owns 5% to 10%
      • Asset Alliance Holding Corp · Member
        direct · owns 5% to 10%
      • Trust Advisory Group · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Advisers that list Hatteras Alternative Mutual Funds, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 2
        Mar 28, 2013 to Mar 28, 2014
      • BD registered reps · 32 to 28
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 45 to 40
        Mar 28, 2013 to Mar 28, 2014
      • Insurance-licensed employees · 12 to 8
        Mar 28, 2013 to Mar 28, 2014
      • State-registered IARs · 12 to 8
        Mar 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.5B to $2.8B
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $1.5B to $2.8B
        Mar 28, 2013 to Mar 28, 2014
      • Accounts · 2 to 3
        Dec 13, 2012 to Mar 28, 2013
      • BD registered reps · 33 to 32
        Dec 13, 2012 to Mar 28, 2013
      • Employees · 49 to 45
        Dec 13, 2012 to Mar 28, 2013
      • Insurance-licensed employees · 16 to 12
        Dec 13, 2012 to Mar 28, 2013
      • State-registered IARs · 16 to 12
        Dec 13, 2012 to Mar 28, 2013
      • Discretionary RAUM · $579M to $1.5B
        Dec 13, 2012 to Mar 28, 2013
      • RAUM · $579M to $1.5B
        Dec 13, 2012 to Mar 28, 2013
      • Related bank · false to true
        Dec 13, 2012 to Mar 28, 2013
      • Advisory employees · unset to 6.0
        Mar 29, 2012 to Dec 13, 2012
      • BD registered reps · unset to 33.0
        Mar 29, 2012 to Dec 13, 2012
      • Employees · unset to 49.0
        Mar 29, 2012 to Dec 13, 2012
      • State-registered IARs · 0 to 16
        Mar 29, 2012 to Dec 13, 2012
      • Insurance-licensed employees · unset to 16.0
        Nov 11, 2011 to Mar 29, 2012
      • Discretionary RAUM · $320M to $579M
        Nov 11, 2011 to Mar 29, 2012
      • RAUM · $320M to $579M
        Nov 11, 2011 to Mar 29, 2012
      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