DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

S••••••• R••• E••••• S••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 133597SEC 801-63760IAPD
Latest filing Apr 2, 2015
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$623M
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
9
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$239M gross assets
History
6 filings and snapshots on the tape
RAUM$623M as of Mar 26, 2015
Mar 30, 2012$635M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2015
Apr 1, 20130 then
Employees (5.A)9 as of Mar 26, 2015
Apr 1, 201310 then
Private funds3 as of Mar 26, 2015
Mar 30, 20122 then
RAUM -48% over the last fiscal year-0.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 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
$38.9MderivedRAUM 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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$239M, 9 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)
  • 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)
  • 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
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
16reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$239M for 9 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••••• K••••••• M••••• F••• L••Hedge Fund$126M15Mar 30, 2012
      D••••• M••••• F••• L••Hedge Fund$108M32Mar 30, 2012
      S••••••• R••• E••••• S••••••••• F••• L••Other Private Fund$4.6M2Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• S•••••• N•••• · Chief Financial Officer & Chief Compliance Officercontrol
        since 02/2005 · owns less than 5%
      • S•••••• M••••••• J•• · Portfolio Managercontrol
        since 03/2015 · owns less than 5%
      • S••••••••• B••••• S••••• · 100% Ownercontrol
        since 10/2004 · owns 75% or more of S••••••• R••• E••••• S••••••••• H•••••••• L••
      Entity owners
      • S••••••• R••• E••••• S••••••••• H•••••••• L•• · Owner Of Adviser
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • S•• S••••••••• C••••• I•••
        investment adviserpooled vehicle sponsory
      • S••••••• R••• E••••• S••••••••• M••••••••• L•••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 17 to 16
        Mar 28, 2014 to Mar 26, 2015
      • Assets in custody · $345M to $239M
        Mar 28, 2014 to Mar 26, 2015
      • Employees · 10 to 9
        Mar 28, 2014 to Mar 26, 2015
      • Discretionary RAUM · $1.2B to $623M
        Mar 28, 2014 to Mar 26, 2015
      • RAUM · $1.2B to $623M
        Mar 28, 2014 to Mar 26, 2015
      • Accounts · 15 to 17
        Apr 1, 2013 to Mar 28, 2014
      • Assets in custody · $354M to $345M
        Apr 1, 2013 to Mar 28, 2014
      • Private funds · 2 to 3
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.1B to $1.2B
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $1.1B to $1.2B
        Apr 1, 2013 to Mar 28, 2014
      • Accounts · 20 to 15
        Dec 4, 2012 to Apr 1, 2013
      • Assets in custody · $231M to $354M
        Dec 4, 2012 to Apr 1, 2013
      • Discretionary RAUM · $634M to $1.1B
        Dec 4, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $1.2M to $0
        Dec 4, 2012 to Apr 1, 2013
      • RAUM · $635M to $1.1B
        Dec 4, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Mar 30, 2012 to Dec 4, 2012
      • Employees · unset to 10.0
        Mar 30, 2012 to Dec 4, 2012
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Dec 4, 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