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

J•• C••••••• I•••

Former SEC-registered adviserCRD 131277SEC 801-73999IAPD
Latest filing Mar 30, 2017
First filing on the tape Feb 14, 2012 · 10 filings
RAUM
$917M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$1.2B gross assets
History
10 filings and snapshots on the tape
RAUM$917M as of Mar 30, 2017
Mar 28, 2013$512M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2017
Mar 28, 20131 then
Employees (5.A)2 as of Mar 30, 2017
Mar 28, 20131 then
Private funds4 as of Mar 30, 2017
Mar 28, 20133 then
RAUM -0.9% over the last fiscal year+7.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2017; every figure names its basis
RAUM per advisor
$917MderivedRAUM 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
$229MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$917M, 4 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)
  • 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$917M for 4 clientsreported
Compensation
% of AUMreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••••• P•••••••• A• D••••••• L•••••• P•••••••••Hedge Fund$301M17Mar 30, 2017
      D••••• L•••••• I••••••••• F••• T••• L•••Hedge Fund$12.1M36Feb 14, 2012
      D••••• L•••••• I••••••••• F••• O••• L•••Hedge Fund$3.8M49Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••••• J•••• B•••• · President, Chief Compliance Officer And Sole Directorcontrol
        since 04/2004 · owns less than 5%
      • F••••••••• J••••••• M• · Trusteecontrol
        since 04/2004 · owns 50% to 75% of F•••••••• T•••• D•••• 1•••••••
      • F••••••••• J•••• B•••• · Trusteecontrol
        since 04/2004 · owns 50% to 75% of F•••••••• T•••• D•••• 1•••••••
      Entity owners
      • F•••••••• T•••• D•••• 1••••••• · 100% Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 1 to 2
        Apr 8, 2016 to Mar 30, 2017
      • Assets in custody · $926M to $917M
        Apr 8, 2016 to Mar 30, 2017
      • Employees · 1 to 2
        Apr 8, 2016 to Mar 30, 2017
      • Private funds · 3 to 4
        Apr 8, 2016 to Mar 30, 2017
      • Discretionary RAUM · $926M to $917M
        Apr 8, 2016 to Mar 30, 2017
      • RAUM · $926M to $917M
        Apr 8, 2016 to Mar 30, 2017
      • Assets in custody · $776M to $926M
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $776M to $926M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $776M to $926M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 2 to 1
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $747M to $776M
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 2 to 1
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $747M to $776M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $747M to $776M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 3 to 4
        Dec 24, 2013 to Mar 31, 2014
      • Advisory employees · 1 to 2
        Dec 24, 2013 to Mar 31, 2014
      • Assets in custody · $512M to $747M
        Dec 24, 2013 to Mar 31, 2014
      • Employees · 1 to 2
        Dec 24, 2013 to Mar 31, 2014
      • Discretionary RAUM · $567M to $747M
        Dec 24, 2013 to Mar 31, 2014
      • RAUM · $567M to $747M
        Dec 24, 2013 to Mar 31, 2014
      • Discretionary RAUM · $512M to $567M
        Mar 28, 2013 to Apr 19, 2013
      • RAUM · $512M to $567M
        Mar 28, 2013 to Apr 19, 2013
      • Advisory employees · unset to 1.0
        Feb 27, 2012 to Mar 28, 2013
      • Assets in custody · $455M to $512M
        Feb 27, 2012 to Mar 28, 2013
      • Employees · unset to 1.0
        Feb 27, 2012 to Mar 28, 2013
      • State-registered IARs · 0 to 1
        Feb 27, 2012 to Mar 28, 2013
      • Discretionary RAUM · $455M to $512M
        Feb 27, 2012 to Mar 28, 2013
      • RAUM · $455M to $512M
        Feb 27, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      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