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

S•• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 133251SEC 801-64778IAPD
Latest filing Mar 30, 2015
First filing on the tape Mar 27, 2012 · 10 filings
RAUM
$50.3M
reported, Item 5.F
Discretionary
95%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$637,572 gross assets
History
10 filings and snapshots on the tape
RAUM$50.3M as of Mar 30, 2015
Mar 27, 2012$31.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 27, 20120 then
Employees (5.A)4 as of Mar 30, 2015
Mar 18, 20134 then
Private funds1 as of Mar 30, 2015
Mar 27, 20121 then
RAUM +7.8% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$217,008derivedRAUM over accounts (5.F.2.f)
Discretionary
95%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
+7.8%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
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • 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)
  • a related person has custody of client securities (9.B.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
232reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    S•• S•••••• O••••••••• F•••• L•Hedge Fund$637,57229Mar 27, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • R••••• D••••• G••••• · Senior Portfolio Managercontrol
      since 04/2014 · owns 10% to 25%
    • S••••• W••••••• B••••• · President/Ceo/Senior Portfolio Manager/Chief Compliance Officercontrol
      since 09/2004 · owns 75% or more
    Related persons
    Schedule D 7.A
    • S•• C•••••• P••••••• L••
      pooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 249 to 232
      Jan 9, 2015 to Mar 30, 2015
    • Advisory activities · 3 to 4
      Jan 9, 2015 to Mar 30, 2015
    • Financial planning clients · unset to 0
      Jan 9, 2015 to Mar 30, 2015
    • Discretionary RAUM · $43.3M to $47.9M
      Jan 9, 2015 to Mar 30, 2015
    • Non-discretionary RAUM · $3.5M to $2.5M
      Jan 9, 2015 to Mar 30, 2015
    • RAUM · $46.7M to $50.3M
      Jan 9, 2015 to Mar 30, 2015
    • Accounts · 230 to 249
      Dec 9, 2013 to Mar 28, 2014
    • Advisory activities · 2 to 3
      Dec 9, 2013 to Mar 28, 2014
    • Discretionary RAUM · $38.0M to $43.3M
      Dec 9, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $1.0M to $3.5M
      Dec 9, 2013 to Mar 28, 2014
    • RAUM · $39.0M to $46.7M
      Dec 9, 2013 to Mar 28, 2014
    • Accounts · 189 to 230
      Jan 31, 2013 to Mar 18, 2013
    • Advisory employees · 4 to 3
      Jan 31, 2013 to Mar 18, 2013
    • Advisory activities · 1 to 2
      Jan 31, 2013 to Mar 18, 2013
    • BD registered reps · 5 to 0
      Jan 31, 2013 to Mar 18, 2013
    • Employees · 5 to 4
      Jan 31, 2013 to Mar 18, 2013
    • State-registered IARs · 1 to 0
      Jan 31, 2013 to Mar 18, 2013
    • Discretionary RAUM · $32.3M to $38.0M
      Jan 31, 2013 to Mar 18, 2013
    • Non-discretionary RAUM · $1.4M to $1.0M
      Jan 31, 2013 to Mar 18, 2013
    • RAUM · $33.7M to $39.0M
      Jan 31, 2013 to Mar 18, 2013
    • Related broker-dealer · true to false
      Jan 31, 2013 to Mar 18, 2013
    • Advisory employees · unset to 4.0
      May 29, 2012 to Jan 31, 2013
    • BD registered reps · unset to 5.0
      May 29, 2012 to Jan 31, 2013
    • Employees · unset to 5.0
      May 29, 2012 to Jan 31, 2013
    • State-registered IARs · 0 to 1
      May 29, 2012 to Jan 31, 2013
    • Accounts · 169 to 189
      Mar 27, 2012 to May 29, 2012
    • Discretionary RAUM · $30.6M to $32.3M
      Mar 27, 2012 to May 29, 2012
    • Non-discretionary RAUM · $1.3M to $1.4M
      Mar 27, 2012 to May 29, 2012
    • RAUM · $31.9M to $33.7M
      Mar 27, 2012 to May 29, 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