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

F•••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 131924SEC 801-65677IAPD
Latest filing Feb 22, 2017
First filing on the tape Jan 18, 2012 · 13 filings
RAUM
$39.9M
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$39.9M gross assets
History
13 filings and snapshots on the tape
RAUM$39.9M as of Feb 22, 2017
Feb 8, 2012$503M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 22, 2017
Jan 11, 20130 then
Employees (5.A)7 as of Feb 22, 2017
Jan 11, 201314 then
Private funds1 as of Feb 22, 2017
Feb 8, 20123 then
RAUM -48% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 2017; 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
$19.9MderivedRAUM 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
-48%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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
2reported
Financial planning clients
0reported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••• A••••••• R••••• F•••• L•••no longer reportedHedge Fund$59.4M65Jan 18, 2012
      F•••• G••••• O••••••••• M••••• F•••• L•Hedge Fund$39.9M38Jan 18, 2012
      F•••• A•••• B•••• I••••••••• F••• L•••no longer reportedHedge Fund$8.2M18Jan 18, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• R•• · Principal, Chief Investment Officer And Senior Partnercontrol
        since 12/2011 · owns 50% to 75%
      • R••••••• G••• · Partner, Chief Operating Officercontrol
        since 04/2016 · owns 25% to 50%
      • G•••••• W••••• · Managing Director And Chief Compliance Officer
        since 01/2010 · owns less than 5%
      • S•••••• C••••••• H••••••• · Partner And Analyst
        since 04/2016 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • F•••• I••••••••• P•••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $72.5M to $39.9M
        Apr 29, 2016 to Feb 22, 2017
      • RAUM · $72.5M to $39.9M
        Apr 29, 2016 to Feb 22, 2017
      • Discretionary RAUM · $76.7M to $72.5M
        Jan 13, 2016 to Apr 29, 2016
      • RAUM · $76.7M to $72.5M
        Jan 13, 2016 to Apr 29, 2016
      • Discretionary RAUM · $45.9M to $76.7M
        Jun 2, 2015 to Jan 13, 2016
      • RAUM · $45.9M to $76.7M
        Jun 2, 2015 to Jan 13, 2016
      • Discretionary RAUM · $42.8M to $45.9M
        Sep 8, 2014 to Feb 3, 2015
      • RAUM · $42.8M to $45.9M
        Sep 8, 2014 to Feb 3, 2015
      • Employees · 8 to 7
        Jul 22, 2014 to Sep 8, 2014
      • Discretionary RAUM · $58.4M to $42.8M
        Jul 22, 2014 to Sep 8, 2014
      • RAUM · $58.4M to $42.8M
        Jul 22, 2014 to Sep 8, 2014
      • Employees · 10 to 8
        Jan 23, 2014 to Jul 22, 2014
      • Discretionary RAUM · $109M to $58.4M
        Jan 23, 2014 to Jul 22, 2014
      • RAUM · $109M to $58.4M
        Jan 23, 2014 to Jul 22, 2014
      • Accounts · 3 to 2
        Mar 6, 2013 to Jan 23, 2014
      • Advisory employees · 4 to 3
        Mar 6, 2013 to Jan 23, 2014
      • Employees · 15 to 10
        Mar 6, 2013 to Jan 23, 2014
      • Discretionary RAUM · $185M to $109M
        Mar 6, 2013 to Jan 23, 2014
      • Non-discretionary RAUM · $9.2M to $0
        Mar 6, 2013 to Jan 23, 2014
      • RAUM · $195M to $109M
        Mar 6, 2013 to Jan 23, 2014
      • Advisory activities · 2 to 1
        Jan 11, 2013 to Jan 31, 2013
      • Employees · 14 to 15
        Jan 11, 2013 to Jan 31, 2013
      • Accounts · 5 to 3
        Feb 8, 2012 to Jan 11, 2013
      • Advisory employees · unset to 4.0
        Feb 8, 2012 to Jan 11, 2013
      • BD registered reps · unset to 1.0
        Feb 8, 2012 to Jan 11, 2013
      • Employees · unset to 14.0
        Feb 8, 2012 to Jan 11, 2013
      • State-registered IARs · unset to 0.0
        Feb 8, 2012 to Jan 11, 2013
      • Private funds · 3 to 1
        Feb 8, 2012 to Jan 11, 2013
      • Discretionary RAUM · $431M to $185M
        Feb 8, 2012 to Jan 11, 2013
      • Non-discretionary RAUM · $72.3M to $9.2M
        Feb 8, 2012 to Jan 11, 2013
      • RAUM · $503M to $195M
        Feb 8, 2012 to Jan 11, 2013
      • Related bank · false to true
        Feb 8, 2012 to Jan 11, 2013
      • Discretionary RAUM · $416M to $431M
        Jan 18, 2012 to Feb 8, 2012
      • Non-discretionary RAUM · $72.1M to $72.3M
        Jan 18, 2012 to Feb 8, 2012
      • RAUM · $488M to $503M
        Jan 18, 2012 to Feb 8, 2012
      Signals
      No event on the tape.
      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