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
C•••••••• A•••••••• L•••••
Latest filing Mar 30, 2023
First filing on the tape Apr 2, 2012 · 14 filings
RAUM
$254M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$237M 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
0
beyond the principal office
Private funds
10
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$254M as of Mar 30, 2023
Apr 2, 2012$187M then
HNW client RAUM$237M as of Mar 30, 2023
Mar 30, 2018$214M then
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Apr 2, 20120 then
Employees (5.A)4 as of Mar 30, 2023
Apr 1, 20134 then
Private funds10 as of Mar 30, 2023
Apr 2, 201219 then
RAUM -18% over the last fiscal year+2.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; 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
- $13.9MderivedHNW RAUM over HNW clients
- Average account
- $8.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.8%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
- -18%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$237M93%
- Charitable organizations$14.4M5.7%
- Pension and profit-sharing plans$3.0M1.2%
- Individual clients
- 0reported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• L•••••no longer reported | Other Private Fund | $0 | 2 | Apr 2, 2012 |
| Z•••••••• F••••• F••••••••• L••••• | Other Private Fund | $0 | 2 | Apr 2, 2012 |
| I•••• 5• L•••no longer reported | Other Private Fund | $0 | 7 | Apr 2, 2012 |
| Z•••••••• I••••• P••••••• | Other Private Fund | $0 | 20 | Apr 2, 2012 |
| Z•••••••• L••• T••• I••••••••• L••••• | Private Equity Fund | $0 | 14 | Apr 2, 2012 |
| Z•• M•••••••• I••• | Real Estate Fund | $0 | 3 | Apr 2, 2012 |
| S•••• L•••no longer reported | Other Private Fund | $0 | 2 | Apr 2, 2012 |
| Z•••••••• T•••• P•••no longer reported | Liquidity Fund | $0 | 28 | Apr 2, 2012 |
| Z•••••••• L••• T••• C••••••• L••• | Private Equity Fund | $0 | 15 | Apr 2, 2012 |
| S••• 3• L••••• | Other Private Fund | $0 | 9 | Apr 2, 2012 |
| Z••• L•••no longer reported | Other Private Fund | $0 | 3 | Apr 2, 2012 |
| I•••• M•••• M••••• P••• | Liquidity Fund | $0 | 27 | Apr 2, 2012 |
| M•••• L•••no longer reported | Hedge Fund | $0 | 2 | Apr 2, 2012 |
| Z•••••••• P•• 1• L••••• | Private Equity Fund | $0 | 15 | Mar 31, 2017 |
| S• F••••• L•••• L•••••no longer reported | Other Private Fund | $0 | 2 | Apr 2, 2012 |
| Z••• L•••no longer reported | Other Private Fund | $0 | 3 | Mar 31, 2017 |
| Z•••••••• C•••••• A••••••••• I•••no longer reported | Other Private Fund | $0 | 3 | Apr 2, 2012 |
| N•• R•••••• I•••no longer reported | Real Estate Fund | $0 | 3 | Apr 2, 2012 |
| Z•••••••• G••••• P••••••• | Other Private Fund | $0 | 20 | Apr 2, 2012 |
| S• F••••• L•••• L•••••no longer reported | Other Private Fund | $0 | 3 | Apr 1, 2013 |
| Z•••••••• C•••••• F•••• L••• | Other Private Fund | $0 | 2 | Apr 2, 2012 |
| Z••••• L•••no longer reported | Other Private Fund | $0 | 9 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••• J•••• · Chief Compliance Officercontrolsince 01/2017 · owns less than 5%
- P•••••• C••••••••• J••• · President, Manager And Membercontrolsince 11/2003 · owns 75% or more
- P•••••• B•••••••• D•••• · Chief Investment Officersince 02/2007 · owns less than 5%
Related persons
Schedule D 7.A
- J•••• D••••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 33 to 31Mar 31, 2022 to Mar 30, 2023
- Individual clients · unset to 0.0Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $308M to $254MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $289M to $237MMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $26,690 to $0Mar 31, 2022 to Mar 30, 2023
- Pension RAUM · $3.2M to $3.0MMar 31, 2022 to Mar 30, 2023
- RAUM · $308M to $254MMar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $275M to $308MMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $258M to $289MMar 31, 2021 to Mar 31, 2022
- Individual RAUM · $25,885 to $26,690Mar 31, 2021 to Mar 31, 2022
- Pension RAUM · $2.8M to $3.2MMar 31, 2021 to Mar 31, 2022
- RAUM · $275M to $308MMar 31, 2021 to Mar 31, 2022
- Accounts · 43 to 33Jun 29, 2020 to Mar 31, 2021
- HNW clients · 24 to 17Jun 29, 2020 to Mar 31, 2021
- Pooled vehicle clients · 12 to 10Jun 29, 2020 to Mar 31, 2021
- Private funds · 12 to 10Jun 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $235M to $275MJun 29, 2020 to Mar 31, 2021
- HNW RAUM · $219M to $258MJun 29, 2020 to Mar 31, 2021
- Individual RAUM · $44,801 to $25,885Jun 29, 2020 to Mar 31, 2021
- Pension RAUM · $2.3M to $2.8MJun 29, 2020 to Mar 31, 2021
- RAUM · $235M to $275MJun 29, 2020 to Mar 31, 2021
- Accounts · 44 to 43Mar 29, 2019 to Apr 13, 2020
- Pooled vehicle clients · 14 to 12Mar 29, 2019 to Apr 13, 2020
- Private funds · 14 to 12Mar 29, 2019 to Apr 13, 2020
- Discretionary RAUM · $221M to $235MMar 29, 2019 to Apr 13, 2020
- HNW RAUM · $206M to $219MMar 29, 2019 to Apr 13, 2020
- Individual RAUM · $63,341 to $44,801Mar 29, 2019 to Apr 13, 2020
- Pension RAUM · $1.8M to $2.3MMar 29, 2019 to Apr 13, 2020
- RAUM · $221M to $235MMar 29, 2019 to Apr 13, 2020
- Discretionary RAUM · $230M to $221MMar 30, 2018 to Mar 29, 2019
- HNW RAUM · $214M to $206MMar 30, 2018 to Mar 29, 2019
- Individual RAUM · $74,539 to $63,341Mar 30, 2018 to Mar 29, 2019
- Pension RAUM · $2.1M to $1.8MMar 30, 2018 to Mar 29, 2019
- RAUM · $230M to $221MMar 30, 2018 to Mar 29, 2019
- Accounts · 52 to 44Mar 31, 2017 to Mar 30, 2018
- HNW clients · unset to 24.0Mar 31, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 14.0Mar 31, 2017 to Mar 30, 2018
- Employees · 5 to 4Mar 31, 2017 to Mar 30, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 30, 2018
- Private funds · 20 to 14Mar 31, 2017 to Mar 30, 2018
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•••••••• A•••••••• L••••• · Private Equityshared crd · organization
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
Across the graphs
C•••••••• A•••••••• L••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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