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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SEC-registered adviser
H•••••• M••••••••• L•••••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Feb 25, 2003
RAUM
$316M
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
7
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$316M as of Mar 27, 2026
Mar 30, 2012$144M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)7 as of Mar 27, 2026
Mar 28, 20137 then
Private funds2 as of Mar 27, 2026
Mar 30, 20123 then
RAUM -51% over the last fiscal year+5.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $63.3MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -51%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 pooled vehiclesreportedItem 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)
- 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)
- 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
- Pooled investment vehicles$74.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.23 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••• C•••••• E•••••••• L••• | Hedge Fund | $45.2M | 14 | Mar 30, 2012 |
| W••••••••• P•••••••• L•••no longer reported | Hedge Fund | $35.4M | 4 | Mar 30, 2012 |
| H•••••• C••••••• L••• | Hedge Fund | $29.4M | 13 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• N••••••••• L•• · Managing Membercontrolsince 08/1998 · owns 50% to 75%
- K••••••• M•••••••• G••••••• · Managing Member & Chief Compliance Officercontrolsince 12/1995 · owns 50% to 75%
- G•••••••• P••••• S••••••• · Chief Financial Officersince 02/1995 · owns less than 5%
Related persons
Schedule D 7.A
- H•••••• A•••••••• L•••••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $643,466,158 to $316,254,020 (-51.0%) between the annual amendments of 2025-03-20 and 2026-03-27; the peer median change was +8.0% (161 comparable advisers, 3.0th percentile of changes)peers: other advisers, $100M to $500M (161) · 3.1% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $643M to $316MMar 20, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $69.9M to $74.2MMar 20, 2025 to Mar 27, 2026
- RAUM · $643M to $316MMar 20, 2025 to Mar 27, 2026
- Accounts · 4 to 5Mar 28, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 20, 2025
- Other offices · 0 to 2Mar 28, 2024 to Mar 20, 2025
- Discretionary RAUM · $396M to $643MMar 28, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $74.6M to $69.9MMar 28, 2024 to Mar 20, 2025
- RAUM · $396M to $643MMar 28, 2024 to Mar 20, 2025
- Discretionary RAUM · $268M to $396MMar 20, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $80.1M to $74.6MMar 20, 2023 to Mar 28, 2024
- RAUM · $268M to $396MMar 20, 2023 to Mar 28, 2024
- Assets in custody · 289198449.0 to unsetJan 11, 2023 to Mar 20, 2023
- Custody of client assets · true to falseJan 11, 2023 to Mar 20, 2023
- Discretionary RAUM · $289M to $268MJan 11, 2023 to Mar 20, 2023
- Pooled vehicle RAUM · $93.4M to $80.1MJan 11, 2023 to Mar 20, 2023
- RAUM · $289M to $268MJan 11, 2023 to Mar 20, 2023
- Accounts · 3 to 4Mar 29, 2021 to Mar 17, 2022
- Assets in custody · $210M to $289MMar 29, 2021 to Mar 17, 2022
- Discretionary RAUM · $210M to $289MMar 29, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $94.1M to $93.4MMar 29, 2021 to Mar 17, 2022
- RAUM · $210M to $289MMar 29, 2021 to Mar 17, 2022
- Accounts · 2 to 3Mar 27, 2020 to Mar 29, 2021
- Assets in custody · $96.0M to $210MMar 27, 2020 to Mar 29, 2021
- Discretionary RAUM · $96.0M to $210MMar 27, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $96.0M to $94.1MMar 27, 2020 to Mar 29, 2021
- RAUM · $96.0M to $210MMar 27, 2020 to Mar 29, 2021
- Accounts · 3 to 2Dec 10, 2019 to Mar 27, 2020
- Pooled vehicle clients · 3 to 2Dec 10, 2019 to Mar 27, 2020
- Assets in custody · $167M to $96.0MDec 10, 2019 to Mar 27, 2020
- Private funds · 3 to 2Dec 10, 2019 to Mar 27, 2020
- Discretionary RAUM · $167M to $96.0MDec 10, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $167M to $96.0MDec 10, 2019 to Mar 27, 2020
- RAUM · $167M to $96.0MDec 10, 2019 to Mar 27, 2020
- Assets in custody · $199M to $167MFeb 26, 2018 to Mar 14, 2019
- Discretionary RAUM · $199M to $167MFeb 26, 2018 to Mar 14, 2019
- Pooled vehicle RAUM · $199M to $167MFeb 26, 2018 to Mar 14, 2019
- RAUM · $199M to $167MFeb 26, 2018 to Mar 14, 2019
- Advisory employees · 3 to 5Feb 21, 2017 to Feb 26, 2018
- Pooled vehicle clients · unset to 3.0Feb 21, 2017 to Feb 26, 2018
Signals
4 dated events
- H•••••• M••••••••• L••••• reported RAUM $316.3M, down 51% from $643.5M (2025-03-20 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- H•••••• M••••••••• L••••• reported RAUM $643.5M, up 62% from $396.2M (2024-03-28 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- H•••••• M••••••••• L••••• reported RAUM $396.2M, up 48% from $268.3M (2023-03-20 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- H•••••• M••••••••• L••••• reported RAUM $210.2M, up 119% from $96.0M (2020-03-27 to 2021-03-29)Mar 29, 2021 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 917-971-9021reportedpublic record, Form ADV, Mar 27, 2026
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
- Other 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