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

O••••• F••• M••••••••• L•••••• P•••••••••

Former SEC-registered adviserPembroke, CRD 133988SEC 801-63889IAPD
Latest filing Mar 28, 2017
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$480M
reported, Item 5.F
Discretionary
80%
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
30
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$378M gross assets
History
13 filings and snapshots on the tape
RAUM$480M as of Mar 27, 2017
Mar 29, 2012$844M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2017
Mar 21, 20130 then
Employees (5.A)30 as of Mar 27, 2017
Mar 21, 201338 then
Private funds4 as of Mar 27, 2017
Mar 29, 20126 then
RAUM -6.2% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2017; 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
$96.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
80%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-6.2%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, 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)
  • an independent public accountant performs a surprise examination (9.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
5reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• O••••• P••••••• F•••• F••• C•••• S•no longer reportedHedge Fund$30.9M1Mar 29, 2012
      T•• O••••• E••••••• M•••••• F••• L••••••no longer reportedHedge Fund$9.9M12Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• D•••••• D•••• · Chairman Of The General Partnercontrol
        since 12/1993 · owns less than 5%
      • L••••• G•••••••• M•••••• · Chief Compliance Officer, Chief Financial Officercontrol
        since 12/1993 · owns less than 5%
      • B•••••••• D•••••• D•••• · Managing Member, Ownercontrol
        since 07/2001 · owns 25% to 50% of O••••• G•••• H••••••• L••
      • D••••• T•••••• H•••••• · Vice President Of The General Partner
        since 11/2005 · owns less than 5%
      • R•••• R•••••• R•••••• · President Of General Partner
        since 12/1993 · owns less than 5%
      • R•••••• C••••••••• A•• · General Counsel
        since 06/2004 · owns less than 5%
      • S••••••• M••••••• K• · Chief Investment Officer
        since 06/2015 · owns less than 5%
      Entity owners
      • O••••• F••• M••••••••• H••••••• L••• · General Partner
        direct · owns 5% to 10%
      • O••••• G•••• H••••••• L•• · L•••••• Partner
        direct · owns 75% or more
      • O••••• G•••• H••••••• L•• · Shareholder
        indirect · owns 75% or more of O••••• F••• M••••••••• H••••••• L•••
      • H••• S••••••••• S••••••• •••••••• L•••••• · Secretary Of General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Advisory employees · 13 to 11
        Dec 7, 2016 to Mar 27, 2017
      • BD registered reps · 4 to 5
        Dec 7, 2016 to Mar 27, 2017
      • Employees · 39 to 30
        Dec 7, 2016 to Mar 27, 2017
      • Discretionary RAUM · $398M to $385M
        Dec 7, 2016 to Mar 27, 2017
      • Non-discretionary RAUM · $114M to $95.7M
        Dec 7, 2016 to Mar 27, 2017
      • RAUM · $512M to $480M
        Dec 7, 2016 to Mar 27, 2017
      • Accounts · 7 to 5
        Jun 15, 2015 to Mar 29, 2016
      • Advisory employees · 15 to 13
        Jun 15, 2015 to Mar 29, 2016
      • Employees · 37 to 39
        Jun 15, 2015 to Mar 29, 2016
      • Private funds · 5 to 4
        Jun 15, 2015 to Mar 29, 2016
      • Discretionary RAUM · $505M to $398M
        Jun 15, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $186M to $114M
        Jun 15, 2015 to Mar 29, 2016
      • RAUM · $691M to $512M
        Jun 15, 2015 to Mar 29, 2016
      • Accounts · 8 to 7
        Oct 7, 2014 to Mar 27, 2015
      • Advisory employees · 16 to 15
        Oct 7, 2014 to Mar 27, 2015
      • BD registered reps · 3 to 4
        Oct 7, 2014 to Mar 27, 2015
      • Employees · 40 to 37
        Oct 7, 2014 to Mar 27, 2015
      • Private funds · 6 to 5
        Oct 7, 2014 to Mar 27, 2015
      • Discretionary RAUM · $481M to $505M
        Oct 7, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $396M to $186M
        Oct 7, 2014 to Mar 27, 2015
      • RAUM · $877M to $691M
        Oct 7, 2014 to Mar 27, 2015
      • HQ city · HAMILTON to PEMBROKE
        Mar 31, 2014 to Oct 7, 2014
      • BD registered reps · 0 to 3
        Mar 28, 2014 to Mar 31, 2014
      • Accounts · 9 to 8
        Mar 21, 2013 to Mar 28, 2014
      • Advisory employees · 18 to 16
        Mar 21, 2013 to Mar 28, 2014
      • Employees · 38 to 40
        Mar 21, 2013 to Mar 28, 2014
      • Discretionary RAUM · $497M to $481M
        Mar 21, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $179M to $396M
        Mar 21, 2013 to Mar 28, 2014
      • RAUM · $676M to $877M
        Mar 21, 2013 to Mar 28, 2014
      • Accounts · 12 to 9
        Nov 28, 2012 to Mar 21, 2013
      • Advisory employees · 16 to 18
        Nov 28, 2012 to Mar 21, 2013
      • Discretionary RAUM · $653M to $497M
        Nov 28, 2012 to Mar 21, 2013
      • Non-discretionary RAUM · $191M to $179M
        Nov 28, 2012 to Mar 21, 2013
      • RAUM · $844M to $676M
        Nov 28, 2012 to Mar 21, 2013
      • Advisory employees · unset to 16.0
        Mar 29, 2012 to Nov 28, 2012
      • Employees · unset to 38.0
        Mar 29, 2012 to Nov 28, 2012
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Nov 28, 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