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

P•••••• • C••••••

Former SEC-registered adviserNew York, New YorkCRD 127831SEC 801-62794IAPD
Latest filing Apr 6, 2020
First filing on the tape Mar 30, 2012 · 25 filings
RAUM
$11B
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
51
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
18
$10B gross assets
History
25 filings and snapshots on the tape
RAUM$11B as of Mar 30, 2020
Mar 30, 2012$31B then
HNW client RAUM$0 as of Mar 30, 2020
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Apr 1, 20130 then
Employees (5.A)51 as of Mar 30, 2020
Apr 1, 2013122 then
Private funds17 as of Mar 30, 2020
Mar 30, 20128 then
RAUM +25% over the last fiscal year-4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 6, 2020; 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
$534MderivedRAUM 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
+25%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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$11B, 20 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 discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$11B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$11B for 20 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
      Every departureEvery arrival
      Private funds
      23 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•••••• P••••••• L•Hedge Fund$2.6B1Mar 30, 2012
      P•••••• A•••••••• P••• M••••• L••Hedge Fund$2.2B1Mar 30, 2012
      P•••••• C••••• O••••••••• M••••• L••Hedge Fund$2.2B1Mar 30, 2012
      P•••••• A•••••••• M••••• L••Hedge Fund$845M1Mar 30, 2012
      P•••••• S•••••• S••••••••• M••••• F••• L••Hedge Fund$797M1Mar 30, 2012
      P•••••• L••••••••• M••••• F••• L••no longer reportedHedge Fund$718M20Feb 16, 2016
      P•• G••• M••••• F••• L••Hedge Fund$499M1Mar 30, 2012
      P•••••• I••••••••• L••Hedge Fund$299M10Mar 30, 2012
      P•••••• P••• S••••• E••••••• F••• L•Hedge Fund$217M1Nov 15, 2019
      P•••••• C••••• O••••••••• M••••• I• L••Hedge Fund$184M32Jul 24, 2018
      P•••••• I••••••••• C•••••• I• L•Private Equity Fund$181M45Mar 30, 2018
      E•••••• P• S••••••••• P•••••••• C•••••• 1•Hedge Fund$133M1Aug 21, 2014
      P•••••• P••••••• E••••••• L•Hedge Fund$106M29Mar 30, 2012
      P•••••• P••• S••••• F••• L•Hedge Fund$88.1M21May 20, 2016
      P•••••• P••• S••••• M••••• F••• L••Hedge Fund$83.2M12May 20, 2016
      P•••••• S•••••••• P••••••• F••• ••••••••• L•••no longer reportedPrivate Equity Fund$43.1M3Apr 21, 2017
      P•••••• E••••••• O••••••••• M••••• F••• L••Hedge Fund$37.7M6Nov 18, 2015
      P•••••• P••••••• P•••••• L•no longer reportedHedge Fund$15.2M1Aug 23, 2013
      P• O••••••••• F••• L••no longer reportedHedge Fund$11.9M1Aug 27, 2012
      P•••••• I••••••••• C•••••• I• L•Private Equity Fund$1.6M1Mar 30, 2018
      P•••••• S•••••••• P••••••• F•••• L•••Private Equity Fund$67,0001Apr 21, 2017
      P•••••• S•••••••• P••••••• F••• ••••••••• L•••Private Equity Fund$63,0001Apr 18, 2018
      P•••••• P••• S••••• E••••••• M••••• F••• L••Hedge Fund$01Apr 6, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••• J•••• A••••• · President, Director, P•••••••• Managercontrol
        since 01/1995 · owns 75% or more
      • B••••• C••••••••• A••• · Chief Financial Officer
        since 09/2001 · owns less than 5%
      • F•••••• L••••• Y• · Chief Operating Officer
        since 09/2016 · owns less than 5%
      • H••••• A••••• · Director Of Research
        since 07/1998 · owns less than 5%
      • M•••••• S•••••• L••••• · Chief Legal Officer & Chief Compliance Officer
        since 10/2003 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list P•••••• • C•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 17 to 18
        Mar 30, 2020 to Apr 6, 2020
      • Accounts · 25 to 20
        Nov 15, 2019 to Mar 30, 2020
      • Advisory employees · 23 to 17
        Nov 15, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 25 to 20
        Nov 15, 2019 to Mar 30, 2020
      • Assets in custody · $8.6B to $11B
        Nov 15, 2019 to Mar 30, 2020
      • Employees · 64 to 51
        Nov 15, 2019 to Mar 30, 2020
      • Private funds · 18 to 17
        Nov 15, 2019 to Mar 30, 2020
      • Discretionary RAUM · $8.6B to $11B
        Nov 15, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $8.6B to $11B
        Nov 15, 2019 to Mar 30, 2020
      • RAUM · $8.6B to $11B
        Nov 15, 2019 to Mar 30, 2020
      • Private funds · 17 to 18
        Mar 29, 2019 to Nov 15, 2019
      • Accounts · 16 to 25
        Jul 24, 2018 to Mar 29, 2019
      • Advisory employees · 37 to 23
        Jul 24, 2018 to Mar 29, 2019
      • BD registered reps · 11 to 7
        Jul 24, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 16 to 25
        Jul 24, 2018 to Mar 29, 2019
      • Assets in custody · $8.7B to $8.6B
        Jul 24, 2018 to Mar 29, 2019
      • Employees · 95 to 64
        Jul 24, 2018 to Mar 29, 2019
      • Discretionary RAUM · $8.7B to $8.6B
        Jul 24, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $8.7B to $8.6B
        Jul 24, 2018 to Mar 29, 2019
      • RAUM · $8.7B to $8.6B
        Jul 24, 2018 to Mar 29, 2019
      • Private funds · 16 to 17
        Apr 18, 2018 to Jul 24, 2018
      • Accounts · 17 to 16
        Apr 21, 2017 to Mar 30, 2018
      • Advisory employees · 50 to 37
        Apr 21, 2017 to Mar 30, 2018
      • BD registered reps · 15 to 11
        Apr 21, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 16.0
        Apr 21, 2017 to Mar 30, 2018
      • Assets in custody · $12B to $8.7B
        Apr 21, 2017 to Mar 30, 2018
      • Employees · 120 to 95
        Apr 21, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Private funds · 17 to 16
        Apr 21, 2017 to Mar 30, 2018
      • Discretionary RAUM · $12B to $8.7B
        Apr 21, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Apr 21, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 8736165000.0
        Apr 21, 2017 to Mar 30, 2018
      • RAUM · $12B to $8.7B
        Apr 21, 2017 to Mar 30, 2018
      Signals
      1 dated events
      • P•••••• • C•••••• reported RAUM $8.7B, down 30% from $12.4B (2017-04-21 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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