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
B•••• V•••• F••• M••••••••• L•••
Latest filing Mar 28, 2022
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$421M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$421M gross assets
History
13 filings and snapshots on the tape
RAUM$421M as of Mar 28, 2022
Mar 30, 2012$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2022
Mar 30, 20120 then
Employees (5.A)1 as of Mar 28, 2022
Mar 27, 20131 then
Private funds1 as of Mar 28, 2022
Mar 30, 20122 then
RAUM -20% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2022; 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
- $211MderivedRAUM 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
- -20%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $526M, 59 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$421M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $526M for 59 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••• V•••• A•••• O••••••••• M••••• F•••• L••• | Hedge Fund | $421M | 58 | Mar 30, 2012 |
| B•••• V•••• F•••• L•••no longer reported | Hedge Fund | $56.0M | 12 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R•••••• R•••••• M••••• · Managing Membercontrolsince 08/1998 · owns 75% or more
- H•• J••• · Cfo & Ccosince 07/2013 · owns less than 5%
Related persons
Schedule D 7.A
- B•••• V•••• F••• M••••••••• •••• L•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $526M to $421MMar 26, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $526M to $421MMar 26, 2021 to Mar 28, 2022
- RAUM · $526M to $421MMar 26, 2021 to Mar 28, 2022
- Assets in custody · $556M to $526MMar 31, 2020 to Mar 26, 2021
- Discretionary RAUM · $556M to $526MMar 31, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $556M to $526MMar 31, 2020 to Mar 26, 2021
- RAUM · $556M to $526MMar 31, 2020 to Mar 26, 2021
- Assets in custody · $588M to $556MMar 26, 2019 to Mar 31, 2020
- Discretionary RAUM · $588M to $556MMar 26, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $588M to $556MMar 26, 2019 to Mar 31, 2020
- RAUM · $588M to $556MMar 26, 2019 to Mar 31, 2020
- Assets in custody · $655M to $588MMar 28, 2018 to Mar 26, 2019
- Discretionary RAUM · $655M to $588MMar 28, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $655M to $588MMar 28, 2018 to Mar 26, 2019
- RAUM · $655M to $588MMar 28, 2018 to Mar 26, 2019
- Accounts · 4 to 2Mar 27, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 2.0Mar 27, 2017 to Mar 28, 2018
- Assets in custody · $500M to $655MMar 27, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 28, 2018
- Private funds · 2 to 1Mar 27, 2017 to Mar 28, 2018
- Discretionary RAUM · $500M to $655MMar 27, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 654971629.0Mar 27, 2017 to Mar 28, 2018
- RAUM · $500M to $655MMar 27, 2017 to Mar 28, 2018
- Assets in custody · $523M to $500MMar 4, 2016 to Mar 27, 2017
- Discretionary RAUM · $525M to $500MMar 4, 2016 to Mar 27, 2017
- RAUM · $525M to $500MMar 4, 2016 to Mar 27, 2017
- Assets in custody · $344M to $523MMar 27, 2015 to Mar 4, 2016
- Discretionary RAUM · $361M to $525MMar 27, 2015 to Mar 4, 2016
- RAUM · $361M to $525MMar 27, 2015 to Mar 4, 2016
- Assets in custody · $229M to $344MJun 11, 2014 to Mar 27, 2015
- Discretionary RAUM · $270M to $361MJun 11, 2014 to Mar 27, 2015
- RAUM · $270M to $361MJun 11, 2014 to Mar 27, 2015
- Assets in custody · $179M to $229MNov 11, 2013 to Mar 31, 2014
- Discretionary RAUM · $197M to $270MNov 11, 2013 to Mar 31, 2014
- RAUM · $197M to $270MNov 11, 2013 to Mar 31, 2014
- Assets in custody · unset to 179307550.0Mar 27, 2013 to Nov 11, 2013
- Custody of client assets · false to trueMar 27, 2013 to Nov 11, 2013
- Discretionary RAUM · $180M to $197MMar 27, 2013 to Nov 11, 2013
- RAUM · $180M to $197MMar 27, 2013 to Nov 11, 2013
- Accounts · 6 to 4Mar 30, 2012 to Mar 27, 2013
Signals
1 dated events
- B•••• V•••• F••• M••••••••• L••• reported RAUM $655.0M, up 31% from $499.8M (2017-03-27 to 2018-03-28)Mar 28, 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