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

Z•••• A•••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 126286SEC 801-63476IAPD
Latest filing Mar 28, 2024
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$35.3M as of Mar 30, 2020
Mar 30, 2012$142M then
HNW client RAUM$0 as of Mar 28, 2024
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 14, 20130 then
Employees (5.A)0 as of Mar 28, 2024
Mar 14, 201312 then
Private funds1 as of Mar 30, 2020
Mar 30, 20122 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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
otherreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Z•••• G••••• E••••• A•••••••• F•••• L•no longer reportedHedge Fund$186M6Dec 23, 2015
      Z•••• G••••• E••••• F•••• L•no longer reportedHedge Fund$35.3M3Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••••• J•••• J• · President; Managing Member; Class Bcontrol
        since 10/2011 · owns less than 5%
      • I•••••••• R••••• G•••• · Managing Member; Class Acontrol
        since 09/2001 · owns 75% or more
      • L•••• K••••• J• · Chief Compliance Officer; General Counsel
        since 07/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list Z•••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1.0 to unset
        Jul 24, 2020 to Mar 31, 2021
      • Advisory activities · 2 to 1
        Jul 24, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 1 to 0
        Jul 24, 2020 to Mar 31, 2021
      • Assets in custody · 35256495.0 to unset
        Jul 24, 2020 to Mar 31, 2021
      • Custody of client assets · true to false
        Jul 24, 2020 to Mar 31, 2021
      • Private funds · 1 to unset
        Jul 24, 2020 to Mar 31, 2021
      • Discretionary RAUM · 35256495.0 to unset
        Jul 24, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · 0.0 to unset
        Jul 24, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $35.3M to $0
        Jul 24, 2020 to Mar 31, 2021
      • RAUM · 35256495.0 to unset
        Jul 24, 2020 to Mar 31, 2021
      • Accounts · 2 to 1
        May 21, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 2 to 1
        May 21, 2019 to Mar 30, 2020
      • Assets in custody · $588M to $35.3M
        May 21, 2019 to Mar 30, 2020
      • Private funds · 2 to 1
        May 21, 2019 to Mar 30, 2020
      • Discretionary RAUM · $588M to $35.3M
        May 21, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $588M to $35.3M
        May 21, 2019 to Mar 30, 2020
      • RAUM · $588M to $35.3M
        May 21, 2019 to Mar 30, 2020
      • Assets in custody · $588M to $588M
        Mar 29, 2019 to May 21, 2019
      • Discretionary RAUM · $588M to $588M
        Mar 29, 2019 to May 21, 2019
      • Pooled vehicle RAUM · $588M to $588M
        Mar 29, 2019 to May 21, 2019
      • RAUM · $588M to $588M
        Mar 29, 2019 to May 21, 2019
      • Assets in custody · $1.2B to $588M
        Jun 11, 2018 to Mar 29, 2019
      • Discretionary RAUM · $1.2B to $588M
        Jun 11, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.2B to $588M
        Jun 11, 2018 to Mar 29, 2019
      • RAUM · $1.2B to $588M
        Jun 11, 2018 to Mar 29, 2019
      • HQ city · MILFORD to STAMFORD
        Mar 30, 2018 to Jun 11, 2018
      • Charity clients · unset to 0.0
        May 8, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        May 8, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        May 8, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        May 8, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        May 8, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 2.0
        May 8, 2017 to Mar 30, 2018
      • Assets in custody · $1.2B to $1.2B
        May 8, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        May 8, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.2B to $1.2B
        May 8, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        May 8, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        May 8, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        May 8, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 1177592230.0
        May 8, 2017 to Mar 30, 2018
      • RAUM · $1.2B to $1.2B
        May 8, 2017 to Mar 30, 2018
      Signals
      2 dated events
      • Z•••• A•••••••• L•• reported RAUM $35.3M, down 94% from $587.6M (2019-05-21 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Z•••• A•••••••• L•• reported RAUM $587.7M, down 50% from $1.2B (2018-06-11 to 2019-03-29)
        Mar 29, 2019 · 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