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

M••••••• C•••••• P•••••••• I•••

Former SEC-registered adviserAlbany, New YorkCRD 128222SEC 801-62346IAPD
Latest filing Jan 4, 2019
First filing on the tape Dec 12, 2011 · 23 filings
RAUM
$282M
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
9
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
$319M gross assets
History
23 filings and snapshots on the tape
RAUM$332M as of Mar 30, 2018
Mar 29, 2012$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 28, 20130 then
Employees (5.A)11 as of Mar 30, 2018
Mar 28, 201321 then
Private funds15 as of Mar 30, 2018
Mar 29, 201231 then
RAUM -48% over the last fiscal year-31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 4, 2019; 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
$23.5MderivedRAUM 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
-39%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 vehicles, selection of other advisersreportedItem 5.G
Custody
$231M, 9 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)
  • 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$269M95%
  • Corporations and businesses$13.1M4.6%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$231M for 9 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
      34 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••• C•••••• F••• L••no longer reportedHedge Fund$275M131Mar 29, 2012
      M••••••• H•••••• F••• L•Hedge Fund$155M75Mar 31, 2014
      M••••••• C•••••• F••• L••Hedge Fund$74.6M40Mar 29, 2012
      M••••••• P••••••••• P••••••• L•Hedge Fund$55.4M17Mar 29, 2012
      M••••••• H•••••• F••• I• L•no longer reportedHedge Fund$28.1M26Mar 29, 2012
      M•• S•••••• I••••••••• L•• • S••••• 1• • C••••••• M•••• 2••• T•••••• 8•Hedge Fund$16.7M232Mar 29, 2012
      M••••••• P••••••••• P••••••• L••no longer reportedHedge Fund$10.2M6Mar 29, 2012
      M••••••• D••••••••• C•••••• F••• L••no longer reportedHedge Fund$7.2M3Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M••• • J••• 2••• S••••••••• P•••••••• •••• 2••• C•••••••Hedge Fund$4.2M41Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M••••• • C••••••• M•••• 2••• S••••••••• P••••••••Hedge Fund$4.1M130Mar 29, 2012
      M•• S•••••• I••••••••• L•• • S••••• 1• • M••••• D••••••• 2••• T•••••• 1•Hedge Fund$3.0M70Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M•••• 2••• S••••••••• P••••••••no longer reportedHedge Fund$1.9M63Mar 29, 2012
      M•• S•••••• I••••••••• L•• • S••••• 1• • M•••• J••• 2••• T•••••• 7•Hedge Fund$1.7M45Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M••••• • H• M•••• 2••• S••••••••• P••••••••Hedge Fund$1.6M92Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M••• • R••• S••••••••• P••••••••no longer reportedPrivate Equity Fund$1.5M64Mar 29, 2012
      M•• S•••••• I••••••••• L•• • S••••• 1•no longer reportedHedge Fund$1.4M77Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M••••• • H•••••••• J••• 2••• S••••••••• P••••••••no longer reportedHedge Fund$881,13334Mar 29, 2012
      M•• S•••••• I••••••••• L•• • S••••• 1• • M•••• D••••••• 2••• T•••••• 1•Hedge Fund$730,00036Mar 29, 2012
      M•• S•••••• I••••••••• L•• • S••••• 1• • M•••• M•••• 2••• T•••••• 6•no longer reportedHedge Fund$696,63290Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M••••• • M•••• 2••• S••••••••• P•••••••• ••••• B• • C•••• C•no longer reportedHedge Fund$617,11410Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M••••• • K•••••• M•••• 2••• S••••••••• P••••••••no longer reportedHedge Fund$555,49076Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M••••• • M•••• 2••• S••••••••• P•••••••• ••••• A•no longer reportedHedge Fund$526,23013Mar 29, 2012
      M•• S•••••• I••••••••• L•• • S••••• 1• • M•••• M•••• 2••• T•••••• 7•no longer reportedHedge Fund$454,16941Mar 29, 2012
      M•• S•••••• I••••••••• L•• • M•••• M•••• 2••• S••••• 5•no longer reportedHedge Fund$421,14827Mar 29, 2012
      M•• S•••••• I••••••••• L•• • M•• R••• S••••• 2• • R••• T•••••• 2•no longer reportedPrivate Equity Fund$420,933160Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M••• • J••• 2••• S••••••••• P•••••••• •••••••• 2••• C•••••••Hedge Fund$358,00041Mar 29, 2012
      M•• S•••••• I••••••••• L•• • S••••• 1• • M••••• D••••••• 2••• T•••••• 1•Hedge Fund$336,00026Mar 31, 2014
      M•• S•••••• I••••••••• S•• L•• • M••••• • E••• P••• M•••• 2••• S••••••••• P••••••••Hedge Fund$289,00080Mar 29, 2012
      M•• S•••••• I••••••••• L•• • M•• R••• S••••• 2• • R••• T•••••• 4•no longer reportedPrivate Equity Fund$242,588166Mar 29, 2012
      M•• S•••••• I••••••••• S•• L•• • M•• L•• • R••• S••••••••• P••••••••no longer reportedPrivate Equity Fund$221,356144Mar 29, 2012
      M•• S•••••• I••••••••• L•• • M•••• R••• S••••• 3•no longer reportedPrivate Equity Fund$184,61470Mar 29, 2012
      M•• S•••••• I••••••••• L•• • M•••• M•••• 2••• S••••• 5• • C••••••• M•••• 2••• T•••••• 1•Hedge Fund$117,76045Mar 29, 2012
      M•• S•••••• I••••••••• L•• • M•••• M•••• 2••• S••••• 5• • H• D••••••• 2••• T•••••• 1•Hedge Fund$58,65116Mar 28, 2013
      M•• S•••••• I••••••••• S•• L•• • M•••• • R••• S••••••••• P••••••••no longer reportedPrivate Equity Fund$50,4742Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• H•••••• B•••• · Partner & Director Of Researchcontrol
        since 01/2007 · owns less than 5%
      • H•••••• T••••••• M•••••• · Chief Financial Officercontrol
        since 08/2001 · owns less than 5%
      • L•••••••• W••••••• H•••• · Chief Executive Officer & Chief Investment Officercontrol
        since 10/1996 · owns 75% or more
      • S•••• J•••• L••••••• · Presidentcontrol
        since 01/2007 · owns 5% to 10%
      • S••••• L••••• K•••••••• · Managing Director Of Operations & Chief Compliance Officercontrol
        since 01/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list M••••••• C•••••• P•••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 16 to 12
        Apr 18, 2018 to Jul 20, 2018
      • Advisory employees · 5 to 3
        Apr 18, 2018 to Jul 20, 2018
      • Employees · 11 to 9
        Apr 18, 2018 to Jul 20, 2018
      • Discretionary RAUM · $332M to $282M
        Apr 18, 2018 to Jul 20, 2018
      • Pooled vehicle RAUM · $319M to $269M
        Apr 18, 2018 to Jul 20, 2018
      • RAUM · $332M to $282M
        Apr 18, 2018 to Jul 20, 2018
      • Accounts · 21 to 16
        Jul 5, 2017 to Mar 30, 2018
      • Advisory employees · 6 to 5
        Jul 5, 2017 to Mar 30, 2018
      • Advisory activities · 3 to 2
        Jul 5, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 15.0
        Jul 5, 2017 to Mar 30, 2018
      • Assets in custody · $288M to $231M
        Jul 5, 2017 to Mar 30, 2018
      • Employees · 14 to 11
        Jul 5, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Jul 5, 2017 to Mar 30, 2018
      • Private funds · 17 to 15
        Jul 5, 2017 to Mar 30, 2018
      • Discretionary RAUM · $513M to $332M
        Jul 5, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $27.6M to $0
        Jul 5, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 318590000.0
        Jul 5, 2017 to Mar 30, 2018
      • RAUM · $541M to $332M
        Jul 5, 2017 to Mar 30, 2018
      • Related adviser · true to false
        Jul 5, 2017 to Mar 30, 2018
      • Related bank · true to false
        Jul 5, 2017 to Mar 30, 2018
      • Assets in custody · $305M to $288M
        Jun 27, 2016 to Mar 31, 2017
      • Employees · 16 to 14
        Jun 27, 2016 to Mar 31, 2017
      • Discretionary RAUM · $630M to $513M
        Jun 27, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $27.7M to $27.6M
        Jun 27, 2016 to Mar 31, 2017
      • RAUM · $658M to $541M
        Jun 27, 2016 to Mar 31, 2017
      • Accounts · 24 to 21
        Jul 10, 2015 to Mar 30, 2016
      • Assets in custody · $358M to $305M
        Jul 10, 2015 to Mar 30, 2016
      • Employees · 17 to 16
        Jul 10, 2015 to Mar 30, 2016
      • Private funds · 20 to 17
        Jul 10, 2015 to Mar 30, 2016
      • Discretionary RAUM · $807M to $630M
        Jul 10, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $41.8M to $27.7M
        Jul 10, 2015 to Mar 30, 2016
      • RAUM · $849M to $658M
        Jul 10, 2015 to Mar 30, 2016
      • Accounts · 30 to 24
        Jul 15, 2014 to Mar 30, 2015
      • Advisory employees · 7 to 6
        Jul 15, 2014 to Mar 30, 2015
      • Assets in custody · $431M to $358M
        Jul 15, 2014 to Mar 30, 2015
      • Employees · 19 to 17
        Jul 15, 2014 to Mar 30, 2015
      • Private funds · 25 to 20
        Jul 15, 2014 to Mar 30, 2015
      • Discretionary RAUM · $900M to $807M
        Jul 15, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $80.1M to $41.8M
        Jul 15, 2014 to Mar 30, 2015
      • RAUM · $980M to $849M
        Jul 15, 2014 to Mar 30, 2015
      Signals
      2 dated events
      • Charles Kevin Joseph (General Counsel & Chief Compliance Officer) no longer on Schedule A of M••••••• C•••••• P•••••••• I••• (listed 2018-07-20, absent 2019-01-04)
        Jan 4, 2019 · Control person left · inference
      • M••••••• C•••••• P•••••••• I••• reported RAUM $331.7M, down 39% from $540.7M (2017-07-05 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