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

T•••••••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 132920SEC 801-63622IAPD
Latest filing Jun 30, 2020
First filing on the tape Apr 2, 2012 · 25 filings
RAUM
$522M
reported, Item 5.F
Discretionary
1.8%
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
0
beyond the principal office
Private funds
3
$14.7M gross assets
History
25 filings and snapshots on the tape
RAUM$522M as of Mar 31, 2020
Apr 2, 2012$242M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2020
Apr 12, 20130 then
Employees (5.A)2 as of Mar 31, 2020
Apr 12, 20139 then
Private funds3 as of Mar 31, 2020
Apr 12, 20131 then
RAUM +34% over the last fiscal year+84% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Jun 30, 2020; 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
$131MderivedRAUM over accounts (5.F.2.f)
Discretionary
1.8%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
+34%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 vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$9.6M, 3 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)
  • 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
  • Investment companies$513M98%
  • Pooled investment vehicles$9.6M1.8%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$9.6M for 3 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••••• F•••• I••••• F••• L••Hedge Fund$11.9M46Jul 10, 2012
      T•••••••• M•••• M••••• F•••• L••no longer reportedHedge Fund$4.6M4Jan 27, 2014
      T•••••••• F•••• I••••• I••••• L•no longer reportedHedge Fund$4.1M1Jan 27, 2014
      T•••••••• S•••••• O••••••••• F•••• L••Hedge Fund$2.0M17Jan 27, 2014
      T•••••••• F•••• I••••• F••• L•Hedge Fund$813,32755Jan 27, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • L••• Y•••• C••• · Managing Member, Chief Compliance Officercontrol
        since 10/2002 · 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
      • Assets in custody · $14.7M to $9.6M
        Mar 27, 2019 to Mar 31, 2020
      • Employees · 3 to 2
        Mar 27, 2019 to Mar 31, 2020
      • Other offices · 1 to 0
        Mar 27, 2019 to Mar 31, 2020
      • Discretionary RAUM · $14.7M to $9.6M
        Mar 27, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $376M to $513M
        Mar 27, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $14.7M to $9.6M
        Mar 27, 2019 to Mar 31, 2020
      • RAUM · $391M to $522M
        Mar 27, 2019 to Mar 31, 2020
      • Assets in custody · $89.8M to $14.7M
        Mar 28, 2018 to Mar 27, 2019
      • Discretionary RAUM · $89.8M to $14.7M
        Mar 28, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $0 to $376M
        Mar 28, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $30.5M to $14.7M
        Mar 28, 2018 to Mar 27, 2019
      • RAUM · $89.8M to $391M
        Mar 28, 2018 to Mar 27, 2019
      • Related bank · true to false
        Mar 28, 2018 to Mar 27, 2019
      • Accounts · 5 to 4
        May 25, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        May 25, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        May 25, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        May 25, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        May 25, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        May 25, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 3.0
        May 25, 2017 to Mar 28, 2018
      • Assets in custody · $84.1M to $89.8M
        May 25, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        May 25, 2017 to Mar 28, 2018
      • Discretionary RAUM · $84.1M to $89.8M
        May 25, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 30533617.0
        May 25, 2017 to Mar 28, 2018
      • RAUM · $84.1M to $89.8M
        May 25, 2017 to Mar 28, 2018
      • Advisory employees · 3 to 2
        Apr 17, 2017 to May 11, 2017
      • Employees · 4 to 3
        Apr 17, 2017 to May 11, 2017
      • Private funds · 4 to 3
        Apr 17, 2017 to May 11, 2017
      • Advisory employees · 0 to 3
        Jul 26, 2016 to Mar 20, 2017
      • Advisory activities · 1 to 2
        Jul 26, 2016 to Mar 20, 2017
      • Assets in custody · $94.1M to $84.1M
        Jul 26, 2016 to Mar 20, 2017
      • Discretionary RAUM · $94.1M to $84.1M
        Jul 26, 2016 to Mar 20, 2017
      • RAUM · $94.1M to $84.1M
        Jul 26, 2016 to Mar 20, 2017
      • Accounts · 7 to 5
        Mar 22, 2016 to Jul 26, 2016
      • Advisory employees · 3 to 0
        Mar 22, 2016 to Jul 26, 2016
      • Advisory activities · 2 to 1
        Mar 22, 2016 to Jul 26, 2016
      • Assets in custody · $126M to $94.1M
        Mar 22, 2016 to Jul 26, 2016
      • Discretionary RAUM · $126M to $94.1M
        Mar 22, 2016 to Jul 26, 2016
      • RAUM · $126M to $94.1M
        Mar 22, 2016 to Jul 26, 2016
      • Accounts · 9 to 7
        Dec 11, 2015 to Mar 22, 2016
      Signals
      2 dated events
      • T•••••••• P•••••••• L•• reported RAUM $522.2M, up 34% from $390.7M (2019-03-27 to 2020-03-31)
        Mar 31, 2020 · ria raum c•••ge · derived
      • T•••••••• P•••••••• L•• reported RAUM $390.7M, up 335% from $89.8M (2018-03-28 to 2019-03-27)
        Mar 27, 2019 · ria raum c•••ge · derived
      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