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••••• F••• M••••••••• L••
Latest filing Mar 31, 2015
First filing on the tape Jan 3, 2012 · 7 filings
RAUM
$8.4M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$7.7M gross assets
History
7 filings and snapshots on the tape
RAUM$8.4M as of Mar 31, 2015
Mar 29, 2012$105M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2015
Mar 28, 20131 then
Employees (5.A)4 as of Mar 31, 2015
Mar 28, 20135 then
Private funds4 as of Mar 31, 2015
Mar 29, 201214 then
RAUM -76% over the last fiscal year-57% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
- RAUM per advisor
- $8.4MderivedRAUM 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
- $559,475derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -76%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $7.5M, 4 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 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
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
- 15reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.5M for 4 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
- T••••• H•••• to L••••• A•••• C••••••••• L••Jul 22, 2011 · Other
Joined, latest
- T••••• H•••• from G••• H••••• F••••••••Sep 27, 2010 · Other
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• P•••••••• G••••• I• F•••• F•••• L•no longer reported | Hedge Fund | $5.2M | 4 | Jan 3, 2012 |
| A••••• P•••••••• G••••• I• F•••• F•••• L•no longer reported | Hedge Fund | $4.4M | 4 | Jan 3, 2012 |
| A••••• P•••••••• S••••••••• F•••• F•••• L•no longer reported | Hedge Fund | $4.3M | 4 | Jan 3, 2012 |
| A••••• P•••••••• M••••••••• I•• F••• ••••• L• | Hedge Fund | $3.0M | 2 | Jan 3, 2012 |
| A••••• P•••••••• G••••• I•• F•••• F•••• L•no longer reported | Hedge Fund | $2.5M | 3 | Jan 3, 2012 |
| A••••• P•••••••• S•••• B••• F•••• F•••• L•no longer reported | Hedge Fund | $2.4M | 0 | Jan 3, 2012 |
| A••••• P•••••••• C••••••• F•••• F•••• L•no longer reported | Hedge Fund | $2.0M | 4 | Jan 3, 2012 |
| A••••• P•••••••• C•••••••• F•••• F•••• L•no longer reported | Hedge Fund | $1.8M | 4 | Jan 3, 2012 |
| A••••• P•••••••• P••••••• M••••• F•••• F•••• L•no longer reported | Hedge Fund | $1.8M | 4 | Jan 3, 2012 |
| A••••• P•••••••• M••••••••• F••• ••••• L•no longer reported | Hedge Fund | $1.6M | 10 | Jan 3, 2012 |
| A••••• P•••••••• L•• D••••••• F•••• F•••• L•no longer reported | Hedge Fund | $1.2M | 4 | Jan 3, 2012 |
| A••••• P•••••••• G••••• I• F•••• F•••• L•no longer reported | Hedge Fund | $1.1M | 3 | Jan 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- T••••••••• K••••••• D•••• · Managing Member & Chief Compliance Officercontrolsince 09/2004 · owns 50% to 75%
- W•••••••• M••••••• V•• · Managing Member & Ceocontrolsince 12/2002 · owns 50% to 75%
Related persons
Schedule D 7.A
- A••••• F••• P•••••••• L••pooled vehicle sponsory
- A••••• P••••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 25 to 15Mar 31, 2014 to Mar 31, 2015
- Advisory employees · 4 to 3Mar 31, 2014 to Mar 31, 2015
- Assets in custody · $16.2M to $7.5MMar 31, 2014 to Mar 31, 2015
- Employees · 5 to 4Mar 31, 2014 to Mar 31, 2015
- Private funds · 5 to 4Mar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $17.2M to $8.4MMar 31, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $17.2M to $0Mar 31, 2014 to Mar 31, 2015
- RAUM · $34.4M to $8.4MMar 31, 2014 to Mar 31, 2015
- Related bank · false to trueMar 31, 2014 to Mar 31, 2015
- Accounts · 26 to 25Mar 28, 2013 to Mar 31, 2014
- Assets in custody · $28.9M to $16.2MMar 28, 2013 to Mar 31, 2014
- Private funds · 7 to 5Mar 28, 2013 to Mar 31, 2014
- Discretionary RAUM · $30.5M to $17.2MMar 28, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $9.7M to $17.2MMar 28, 2013 to Mar 31, 2014
- RAUM · $40.2M to $34.4MMar 28, 2013 to Mar 31, 2014
- Accounts · 39 to 26Nov 29, 2012 to Mar 28, 2013
- Advisory activities · 3 to 2Nov 29, 2012 to Mar 28, 2013
- Assets in custody · $31.4M to $28.9MNov 29, 2012 to Mar 28, 2013
- Employees · 6 to 5Nov 29, 2012 to Mar 28, 2013
- Private funds · 16 to 7Nov 29, 2012 to Mar 28, 2013
- Discretionary RAUM · $93.1M to $30.5MNov 29, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $12.0M to $9.7MNov 29, 2012 to Mar 28, 2013
- RAUM · $105M to $40.2MNov 29, 2012 to Mar 28, 2013
- Private funds · 14 to 16Nov 13, 2012 to Nov 29, 2012
- Advisory employees · unset to 4.0Mar 29, 2012 to Nov 13, 2012
- Employees · unset to 6.0Mar 29, 2012 to Nov 13, 2012
- State-registered IARs · unset to 1.0Mar 29, 2012 to Nov 13, 2012
- Accounts · 40 to 39Jan 3, 2012 to Mar 29, 2012
- Assets in custody · $45.6M to $31.4MJan 3, 2012 to Mar 29, 2012
- Financial planning clients · 1-10 to 0Jan 3, 2012 to Mar 29, 2012
- Discretionary RAUM · $94.8M to $93.1MJan 3, 2012 to Mar 29, 2012
- Non-discretionary RAUM · $11.1M to $12.0MJan 3, 2012 to Mar 29, 2012
- RAUM · $106M to $105MJan 3, 2012 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