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

E••• A••••••• L••

Former SEC-registered adviserNorwalk, ConnecticutCRD 132057SEC 801-63284IAPD
Latest filing Jun 3, 2019
First filing on the tape Nov 8, 2011 · 23 filings
RAUM
$617M
reported, Item 5.F
Discretionary
98%
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
22
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$212M gross assets
History
23 filings and snapshots on the tape
RAUM$617M as of Mar 28, 2019
Mar 30, 2012$4.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 28, 20131 then
Employees (5.A)22 as of Mar 28, 2019
Mar 28, 201338 then
Private funds4 as of Mar 28, 2019
Mar 30, 20126 then
RAUM -84% over the last fiscal year-48% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Jun 3, 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
$61.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%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
-84%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$243M, 8 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$374M61%
  • Pooled investment vehicles$232M38%
  • Banks and thrifts$11.4M1.9%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$243M for 8 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••• F•••• L•••Hedge Fund$97.6M2Mar 30, 2012
      F•••• P•••••••• F•••• L•••Hedge Fund$60.8M13Mar 30, 2012
      G••••• A••••••• R••••• F•••• L••Hedge Fund$53.2M16Mar 30, 2012
      E••• S•••• M••••••• E••••• F••• T••••no longer reportedOther Private Fund$39.4M1Mar 30, 2012
      E••• S•••• C•• V•••• E••••• F•••no longer reportedOther Private Fund$12.9M11Mar 30, 2012
      C• L••••••••• S•• I• L•••Other Private Fund$27,04111Mar 29, 2018
      E••• E••••••••• O••••••• F•••• L••no longer reportedHedge Fund$01Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• G••••••• A•••• · Managercontrol
        since 07/2016 · owns less than 5%
      • G••••••• M••••••• A•••••• · Chief Operating Officer/Managercontrol
        since 09/2018 · owns less than 5%
      • M•• I•••••• J••••• D•••••• · Managercontrol
        since 07/2017 · owns less than 5%
      • M•••••• J•••• R••••••• · Managercontrol
        since 07/2016 · owns less than 5%
      • K••••••• N•••••••• · Chief Compliance Officer
        since 06/2019 · owns less than 5%
      Entity owners
      • M•• I••••••••• C••••••••• · Member
        direct · owns 75% or more
      • B•• M••••• I••• L•• · Shareholder
        indirect · owns 75% or more of M•• I••••••••• C•••••••••
      • T•• B••• O• N•• Y••• M••••• C••••••••• · Member
        indirect · owns 75% or more of B•• M••••• I••• L•• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list E••• A••••••• L•• 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 10
        Oct 3, 2018 to Mar 28, 2019
      • Advisory employees · 11 to 6
        Oct 3, 2018 to Mar 28, 2019
      • Advisory activities · 5 to 4
        Oct 3, 2018 to Mar 28, 2019
      • BD registered reps · 1 to 0
        Oct 3, 2018 to Mar 28, 2019
      • Assets in custody · $367M to $243M
        Oct 3, 2018 to Mar 28, 2019
      • Employees · 40 to 22
        Oct 3, 2018 to Mar 28, 2019
      • State-registered IARs · 1 to 0
        Oct 3, 2018 to Mar 28, 2019
      • Discretionary RAUM · $3.8B to $604M
        Oct 3, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $56.8M to $12.7M
        Oct 3, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $312M to $232M
        Oct 3, 2018 to Mar 28, 2019
      • RAUM · $3.9B to $617M
        Oct 3, 2018 to Mar 28, 2019
      • BD registered reps · 2 to 1
        Aug 9, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 7.0
        Aug 9, 2017 to Mar 29, 2018
      • Assets in custody · $145M to $367M
        Aug 9, 2017 to Mar 29, 2018
      • Employees · 41 to 40
        Aug 9, 2017 to Mar 29, 2018
      • Financial planning clients · unset to 0
        Aug 9, 2017 to Mar 29, 2018
      • State-registered IARs · 2 to 1
        Aug 9, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Aug 9, 2017 to Mar 29, 2018
      • Discretionary RAUM · $4.4B to $3.8B
        Aug 9, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $6.9M to $56.8M
        Aug 9, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 312494978.0
        Aug 9, 2017 to Mar 29, 2018
      • RAUM · $4.4B to $3.9B
        Aug 9, 2017 to Mar 29, 2018
      • Accounts · 22 to 16
        Apr 5, 2016 to Mar 31, 2017
      • BD registered reps · 1 to 2
        Apr 5, 2016 to Mar 31, 2017
      • Assets in custody · $354M to $145M
        Apr 5, 2016 to Mar 31, 2017
      • State-registered IARs · 1 to 2
        Apr 5, 2016 to Mar 31, 2017
      • Discretionary RAUM · $4.5B to $4.4B
        Apr 5, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $2.3M to $6.9M
        Apr 5, 2016 to Mar 31, 2017
      • RAUM · $4.5B to $4.4B
        Apr 5, 2016 to Mar 31, 2017
      • Accounts · 24 to 22
        Feb 12, 2016 to Mar 30, 2016
      • Assets in custody · $479M to $354M
        Feb 12, 2016 to Mar 30, 2016
      • Employees · 42 to 41
        Feb 12, 2016 to Mar 30, 2016
      • Discretionary RAUM · $5.4B to $4.5B
        Feb 12, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · $4.6M to $2.3M
        Feb 12, 2016 to Mar 30, 2016
      • RAUM · $5.4B to $4.5B
        Feb 12, 2016 to Mar 30, 2016
      • Accounts · 27 to 24
        Oct 3, 2014 to Mar 31, 2015
      • Advisory employees · 12 to 11
        Oct 3, 2014 to Mar 31, 2015
      • Advisory activities · 4 to 5
        Oct 3, 2014 to Mar 31, 2015
      • Assets in custody · $515M to $479M
        Oct 3, 2014 to Mar 31, 2015
      • Employees · 39 to 42
        Oct 3, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • E••• A••••••• L•• reported RAUM $617.1M, down 84% from $3.9B (2018-10-03 to 2019-03-28)
        Mar 28, 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