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••••• S••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 131124SEC 801-63022IAPD
Latest filing Oct 7, 2022
First filing on the tape Mar 27, 2012 · 31 filings
RAUM
$446M
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
18
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
$446M gross assets
History
31 filings and snapshots on the tape
RAUM$446M as of Mar 4, 2022
Mar 27, 2012$695M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 4, 2022
Mar 27, 20120 then
Employees (5.A)18 as of Mar 4, 2022
Mar 28, 201318 then
Private funds4 as of Mar 4, 2022
Mar 27, 20123 then
RAUM -0.3% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 7, 2022; 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
$37.2MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-0.3%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
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$446M100%
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
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••• S••••• L•••• A•••••• L•••no longer reportedHedge Fund$389M60Aug 19, 2014
      P••••• S••••• O••••••••• L••Hedge Fund$255M42Mar 27, 2012
      P••••• S••••• I••••••••• L••Hedge Fund$95.9M30Mar 27, 2012
      P••••• S••••• D••••• F••• L••Hedge Fund$78.5M36Mar 27, 2012
      P••••• S••••• T•••••••• F••• L••Hedge Fund$16.4M14Mar 29, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• R••••• S•••• · General Counsel/Chief Compliance Officercontrol
        since 01/2022 · owns less than 5%
      • H••••••• D••••• C•••• · Managing Partnercontrol
        since 03/2001 · owns 75% or more
      • S••••••• S•••••••• A•••••• · Senior Partnercontrol
        since 06/2006 · owns 5% to 10%
      • W•••• W••••••• C•••• · Director / Partner / Chief Operating Officer / Chief Financial Officercontrol
        since 05/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • P••••• S••••• C•••••• M••••••••• ••• L••••••
        investment advisery
      • P••••• S••••• C•••••• P••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Causeway Bay, Hong Kong2 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 11 to 9
        Jun 3, 2021 to Mar 4, 2022
      • Employees · 20 to 18
        Jun 3, 2021 to Mar 4, 2022
      • Discretionary RAUM · $448M to $446M
        Jun 3, 2021 to Mar 4, 2022
      • Pooled vehicle RAUM · $448M to $446M
        Jun 3, 2021 to Mar 4, 2022
      • RAUM · $448M to $446M
        Jun 3, 2021 to Mar 4, 2022
      • Advisory employees · 12 to 11
        Oct 9, 2020 to Mar 17, 2021
      • Employees · 21 to 20
        Oct 9, 2020 to Mar 17, 2021
      • Discretionary RAUM · $662M to $448M
        Oct 9, 2020 to Mar 17, 2021
      • Pooled vehicle RAUM · $662M to $448M
        Oct 9, 2020 to Mar 17, 2021
      • RAUM · $662M to $448M
        Oct 9, 2020 to Mar 17, 2021
      • Accounts · 11 to 12
        Jul 31, 2019 to Mar 29, 2020
      • Advisory employees · 11 to 12
        Jul 31, 2019 to Mar 29, 2020
      • Pooled vehicle clients · 11 to 12
        Jul 31, 2019 to Mar 29, 2020
      • Employees · 22 to 21
        Jul 31, 2019 to Mar 29, 2020
      • Discretionary RAUM · $1.1B to $662M
        Jul 31, 2019 to Mar 29, 2020
      • Pooled vehicle RAUM · $1.1B to $662M
        Jul 31, 2019 to Mar 29, 2020
      • RAUM · $1.1B to $662M
        Jul 31, 2019 to Mar 29, 2020
      • BD registered reps · 0 to 1
        Mar 29, 2019 to Jul 31, 2019
      • Accounts · 14 to 11
        Mar 30, 2018 to Mar 29, 2019
      • Advisory employees · 12 to 11
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 14 to 11
        Mar 30, 2018 to Mar 29, 2019
      • Employees · 25 to 22
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $2.4B to $1.1B
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.4B to $1.1B
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $2.4B to $1.1B
        Mar 30, 2018 to Mar 29, 2019
      • Advisory employees · 11 to 12
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 14.0
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 21 to 25
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $2.0B to $2.4B
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 2388373000.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $2.0B to $2.4B
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.8B to $2.0B
        Mar 28, 2016 to Mar 31, 2017
      • RAUM · $1.8B to $2.0B
        Mar 28, 2016 to Mar 31, 2017
      • Employees · 20 to 21
        Sep 28, 2015 to Mar 28, 2016
      • Discretionary RAUM · $1.7B to $1.8B
        Sep 28, 2015 to Mar 28, 2016
      • RAUM · $1.7B to $1.8B
        Sep 28, 2015 to Mar 28, 2016
      • Accounts · 11 to 14
        Mar 12, 2015 to Mar 31, 2015
      • Discretionary RAUM · $1.4B to $1.7B
        Mar 12, 2015 to Mar 31, 2015
      • RAUM · $1.4B to $1.7B
        Mar 12, 2015 to Mar 31, 2015
      Signals
      8 dated events
      • Marie Lisa Giuffra De Diaz (President / Partner / Chief Executive Officer) no longer on Schedule A of P••••• S••••• C•••••• M••••••••• L•• (listed 2022-03-04, absent 2022-08-15)
        Aug 15, 2022 · Control person left · inference
      • Scott Roger Begelman (General Counsel/Chief Compliance Officer) appeared on Schedule A of P••••• S••••• C•••••• M••••••••• L••
        Mar 4, 2022 · Control person joined · fact
      • P••••• S••••• C•••••• M••••••••• L•• reported RAUM $447.5M, down 32% from $662.2M (2020-10-09 to 2021-03-17)
        Mar 17, 2021 · RAUM change · derived
      • P••••• S••••• C•••••• M••••••••• L•• reported RAUM $662.2M, down 42% from $1.1B (2019-07-31 to 2020-03-29)
        Mar 29, 2020 · RAUM change · derived
      • David Michael Wasserman (Chief Legal Officer / Chief Compliance Officer) no longer on Schedule A of P••••• S••••• C•••••• M••••••••• L•• (listed 2019-07-31, absent 2020-03-29)
        Mar 29, 2020 · Control person left · inference
      • Marie Lisa Giuffra De Diaz (President / Chief Executive Officer) appeared on Schedule A of P••••• S••••• C•••••• M••••••••• L••
        Jul 31, 2019 · Control person joined · fact
      • Therese Anne Wynne (General Counsel) no longer on Schedule A of P••••• S••••• C•••••• M••••••••• L•• (listed 2018-03-30, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • P••••• S••••• C•••••• M••••••••• L•• reported RAUM $1.1B, down 52% from $2.4B (2018-03-30 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