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

A••• M••••••••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 135358SEC 801-64469IAPD
Latest filing Aug 2, 2018
First filing on the tape Mar 21, 2012 · 19 filings
RAUM
$173M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$1.4B gross assets
History
19 filings and snapshots on the tape
RAUM$173M as of Mar 29, 2018
Mar 21, 2012$4.6B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 26, 20130 then
Employees (5.A)5 as of Mar 29, 2018
Mar 26, 201316 then
Private funds5 as of Mar 29, 2018
Mar 21, 20127 then
RAUM -92% over the last fiscal year-65% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 2, 2018; 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
$21.7MderivedRAUM 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
-92%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 companies, selection of other advisersreportedItem 5.G
Custody
$1.4B, 5 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$173M100%
  • Investment companies$675,0000.4%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.4B for 5 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••••• O••••••• F•••• L•••Hedge Fund$861M123Mar 21, 2012
      A•••••••• E•••• F•••• L•••no longer reportedHedge Fund$282M6Mar 21, 2012
      A••• O••••••••• F•••• L•••Hedge Fund$241M72Mar 21, 2012
      A•••••••• A••••••• R••••• S••••••••• F•••• L•••Hedge Fund$171M10Mar 21, 2012
      A•••••••• E••••• S••••••••• F•••• L•••Hedge Fund$90.1M29Mar 21, 2012
      A•••••••• E••••• S••••••••• F•••• L•••Hedge Fund$79.8M13Mar 21, 2012
      A••• O••••••••• F•••• L•••no longer reportedHedge Fund$15.5M0Mar 21, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• D••••• R•••••• · Chief Operating Officer/Chief Compliance Officercontrol
        since 01/2005 · owns less than 5%
      • S•••••• A•••••• J•••• · Principal/Chief Executive Officer/Membercontrol
        since 05/1996 · owns 25% to 50%
      • S•••••• S••••••••• J••• · Membercontrol
        since 05/1996 · owns 25% to 50%
      • S••••• A•••••• J•• · Chief Financial Officercontrol
        since 05/1996 · owns less than 5%
      • S•••••• A•••••• J•••• · Trusteecontrol
        since 11/2005 · owns F of T•• A••• S••••• 2••• R•••••••• T••••
      • S•••••• A•••••• J•••• · Trusteecontrol
        since 07/2010 · owns 75% or more of A••••• J• S••••• 2••• G•••
      • S•••••• S••••••••• J••• · Trusteecontrol
        since 06/2010 · owns F of C•••• M••••• 2••• R•••••••• T••••
      Entity owners
      • A••••• J• S••••• 2••• G••• · Member
        direct · owns less than 5%
      • C•••• M••••• 2••• R•••••••• T•••• · Member
        direct · owns less than 5%
      • T•• A••• S••••• 2••• R•••••••• T•••• · Member
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list A••• M••••••••• C••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 5 to 4
        Mar 29, 2018 to Jun 12, 2018
      • Advisory employees · 7 to 1
        Jan 10, 2018 to Mar 29, 2018
      • BD registered reps · 2 to 0
        Jan 10, 2018 to Mar 29, 2018
      • Pooled vehicle clients · 0 to 7
        Jan 10, 2018 to Mar 29, 2018
      • Employees · 15 to 5
        Jan 10, 2018 to Mar 29, 2018
      • Discretionary RAUM · $2.3B to $173M
        Jan 10, 2018 to Mar 29, 2018
      • Pooled vehicle RAUM · $0 to $173M
        Jan 10, 2018 to Mar 29, 2018
      • RAUM · $2.3B to $173M
        Jan 10, 2018 to Mar 29, 2018
      • Related adviser · true to false
        Jan 10, 2018 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • Corporate clients · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • HNW clients · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • Individual clients · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • Pension plan clients · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • Pooled vehicle clients · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • Other offices · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • HNW RAUM · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • Individual RAUM · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • Pension RAUM · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Aug 14, 2017 to Jan 10, 2018
      • Accounts · 9 to 8
        Mar 30, 2016 to Mar 30, 2017
      • Advisory employees · 9 to 7
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · $2.3B to $1.4B
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 18 to 15
        Mar 30, 2016 to Mar 30, 2017
      • Private funds · 6 to 5
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $3.3B to $2.3B
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $3.3B to $2.3B
        Mar 30, 2016 to Mar 30, 2017
      • Accounts · 8 to 9
        Mar 7, 2016 to Mar 28, 2016
      • Assets in custody · $2.9B to $2.3B
        Mar 7, 2016 to Mar 28, 2016
      • Discretionary RAUM · $4.0B to $3.3B
        Mar 7, 2016 to Mar 28, 2016
      • RAUM · $4.0B to $3.3B
        Mar 7, 2016 to Mar 28, 2016
      • Advisory activities · 2 to 3
        Jul 2, 2015 to Nov 3, 2015
      • BD registered reps · 0 to 2
        Jul 2, 2015 to Nov 3, 2015
      • Advisory employees · 7 to 9
        Jul 2, 2014 to Mar 27, 2015
      • Assets in custody · $2.8B to $2.9B
        Jul 2, 2014 to Mar 27, 2015
      • Discretionary RAUM · $4.0B to $4.0B
        Jul 2, 2014 to Mar 27, 2015
      • RAUM · $4.0B to $4.0B
        Jul 2, 2014 to Mar 27, 2015
      • Accounts · 9 to 8
        May 9, 2013 to Mar 27, 2014
      • Assets in custody · $3.1B to $2.8B
        May 9, 2013 to Mar 27, 2014
      • Employees · 17 to 18
        May 9, 2013 to Mar 27, 2014
      Signals
      1 dated events
      • A••• M••••••••• C••••••• L•• reported RAUM $173.4M, down 92% from $2.3B (2018-01-10 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      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