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••••••• O••••••• A•••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 133077SEC 801-63742IAPD
Latest filing Mar 23, 2015
First filing on the tape Mar 26, 2012 · 5 filings
RAUM
$258M
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
12
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$77.1M gross assets
History
5 filings and snapshots on the tape
RAUM$258M as of Mar 23, 2015
Mar 26, 2012$41.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2015
Mar 26, 20120 then
Employees (5.A)12 as of Mar 23, 2015
Mar 7, 201312 then
Private funds1 as of Mar 23, 2015
Mar 26, 20121 then
RAUM +115% over the last fiscal year+84% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2015; 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
$64.5MderivedRAUM 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
+115%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 businesses and institutions, 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)
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
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• M••••• F•••• L•••Hedge Fund$77.1M15Mar 26, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• C••••••••• M•••• · Chief Operating Officer And Chief Compliance Officercontrol
        since 08/2004 · owns less than 5%
      • R••••••••• R••••• · Chief Executive Officer/Limited Partnercontrol
        since 08/2004 · owns 25% to 50%
      • S••••• G••• · Chief Investment Officer/Limited Partnercontrol
        since 08/2004 · owns 25% to 50%
      • B••••••• S••••••• N••••• · Trusteecontrol
        since 07/2013 · owns F of R••••• R••••••••• S•• F••••• T••••
      • B••••••• S••••••• N••••• · Trusteecontrol
        since 07/2013 · owns F of R••••• R••••••••• N•• F••••• T••••
      • B••••••• S••••••• N••••• · Presidentcontrol
        since 07/2013 · owns F of R••••••••• S•• C•••.
      • B••••••• S••••••• N••••• · Presidentcontrol
        since 07/2013 · owns F of R••••••••• N•• C•••.
      • R••••••••• R••••• · Sole Membercontrol
        since 08/2004 · owns 75% or more of P••••••• O••••••• Advisors, LLC
      • R••••••••• R••••• · Sole Ownercontrol
        since 02/1999 · owns 75% or more of P••••••• W•••• I•••
      Entity owners
      • P••••••• O••••••• A••••••• L•• · General Partner
        direct · owns less than 5%
      • R••••• R••••••••• A••••••••• L•• · Owner
        direct · owns 25% to 50%
      • R• F••••• T•••• I••••••••• L•• · Limited Partner
        direct · owns 25% to 50%
      • P••••••• W•••• I••• · Member
        indirect · owns 25% to 50% of R••••• R••••••••• Associates, LLC
      • R••••• R••••••••• N•• F••••• T•••• · Owner
        indirect · owns 75% or more of R••••••••• N•• C•••
      • R••••• R••••••••• S•• F••••• T•••• · Owner
        indirect · owns 75% or more of R••••••••• S•• C•••
      • R••••••••• N•• C••• · Member
        indirect · owns 25% to 50% of R••••• R••••••••• A••••••••• L••
      • R••••••••• N•• C••• · Owner
        indirect · owns 50% to 75% of R• F••••• T•••• I••••••••• L••
      • R••••••••• S•• C••• · Member
        indirect · owns 25% to 50% of R••••• R••••••••• Associates, LLC
      • R••••••••• S•• C••• · Owner
        indirect · owns 50% to 75% of R• F••••• T•••• I••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $120M to $258M
        Oct 8, 2014 to Mar 23, 2015
      • RAUM · $120M to $258M
        Oct 8, 2014 to Mar 23, 2015
      • Advisory employees · 6 to 7
        Mar 7, 2013 to Mar 27, 2014
      • Assets in custody · 43225518.0 to unset
        Mar 7, 2013 to Mar 27, 2014
      • Custody of client assets · true to false
        Mar 7, 2013 to Mar 27, 2014
      • Discretionary RAUM · $43.2M to $120M
        Mar 7, 2013 to Mar 27, 2014
      • RAUM · $43.2M to $120M
        Mar 7, 2013 to Mar 27, 2014
      • Advisory employees · unset to 6.0
        Mar 26, 2012 to Mar 7, 2013
      • Assets in custody · $41.6M to $43.2M
        Mar 26, 2012 to Mar 7, 2013
      • Employees · unset to 12.0
        Mar 26, 2012 to Mar 7, 2013
      • Discretionary RAUM · $41.6M to $43.2M
        Mar 26, 2012 to Mar 7, 2013
      • RAUM · $41.6M to $43.2M
        Mar 26, 2012 to Mar 7, 2013
      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