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•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 135782SEC 801-71068IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$110M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$206M gross assets
History
9 filings and snapshots on the tape
RAUM$110M as of Mar 29, 2017
Mar 29, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Apr 1, 20130 then
Employees (5.A)5 as of Mar 29, 2017
Apr 1, 201314 then
Private funds3 as of Mar 29, 2017
Mar 29, 201211 then
RAUM -29% over the last fiscal year-44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$36.6MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-29%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 vehiclesreportedItem 5.G
Custody
$110M, 3 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)
  • 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
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$110M for 3 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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•••••• S•••••• O••••••••• M••••• H••••••• L•••Private Equity Fund$96.5M108Mar 29, 2012
      O•••••• E••••• M••••• F••• L•••no longer reportedHedge Fund$72.1M34Mar 29, 2012
      O•••••• S•••••• O••••••••• ••••••••• L•••Private Equity Fund$69.7M34Mar 29, 2012
      O•••••• E••••• F••• L•no longer reportedHedge Fund$53.8M26Mar 29, 2012
      O•••••• S•••••• O••••••••• L•Private Equity Fund$40.0M76Mar 29, 2012
      T•• O•••••• P•••••••• L•••no longer reportedPrivate Equity Fund$26.2M227Mar 29, 2012
      T•• O•••••• F••• L•••no longer reportedPrivate Equity Fund$21.8M91Mar 29, 2012
      T•• O•••••• F••• L•••no longer reportedPrivate Equity Fund$9.4M136Mar 29, 2012
      O•••••• S•••••• O••••••••• M••••• A••••••••• H••••••• L••Private Equity Fund$7.6M108Mar 29, 2012
      O•••••• E••••• F••• L•••no longer reportedHedge Fund$7.0M4Mar 29, 2012
      P••••• O•••••• L••• ••••• E•no longer reportedHedge Fund$1.2M12Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• D•••••• W••••• · P•••••••• Manager (O•••••• A•••••••• L•••)control
        since 11/2005 · owns less than 5%
      • E••••••• N•••••• J••• · Head Trader (O•••••• M••••••••• L••)control
        since 06/2009 · owns less than 5%
      • M•••• J••••• A•••••••• · Chief Compliance Officer & President (O•••••• M••••••••• L••)control
        since 03/2013 · owns less than 5%
      • A•••••••• D•••••• W••••• · Sole Shareholdercontrol
        since 04/2005 · owns 75% or more of O•••••• M••••••••• I•••
      • A•••••••• D•••••• W••••• · Limited Partnercontrol
        since 04/2005 · owns 50% to 75% of O•••••• H•••••• I• L•••
      Entity owners
      • O•••••• A••••••• H•••••••• L•• · Limited Partner (O•••••• A•••••••• L•••)
        direct · owns 75% or more
      • O•••••• A•••••••• L•• · General Partner (O•••••• A•••••••• L•••)
        direct · owns less than 5%
      • O•••••• H•••••• I• L••• · Managing Member (O•••••• M••••••••• L••)
        direct · owns 75% or more
      • C••••• S••••• ••••• I••• · Sole Shareholder
        indirect · owns 75% or more of C••••• S••••• P•••••• E•••••• I•••
      • C••••• S••••• A• · Sole Shareholder
        indirect · owns 75% or more of C••••• S••••• H••••••• ••••• I•••
      • C••••• S••••• G•••• A• · Sole Shareholder
        indirect · owns 75% or more of C••••• S••••• A• · public reporting company
      • C••••• S••••• H••••••• ••••• I••• · Sole Shareholder
        indirect · owns 75% or more of C••••• S••••• ••••• I•••
      • O•••••• M••••••••• I••• · General Partner
        indirect · owns F of O•••••• H•••••• I• L•••
      • O•••••• M••••••••• L•• · Managing Member
        indirect · owns 75% or more of O•••••• A••••••• H•••••••• L••
      • C••••• S••••• P•••••• E•••••• I••• · Member (O•••••• M••••••••• L••)
        direct · owns 5% to 10%
      • C••••• S••••• S••••••••• •••• L•• · Limited Partner (O•••••• A•••••••• L•••)
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • O•••••• A•••••••• L•••
        investment adviserpooled vehicle sponsory
      • O•••••• A••••••••• L••
        pooled vehicle sponsory
      • P•••••• M••• F•••••• G•• L••
        pooled vehicle sponsory
      • P•••••• Asset Management, LP
        investment adviseryRAUM $90.1M
      Offices
      Schedule D 1.F, the 25 largest
      • Rye, NY
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Aug 4, 2016 to Mar 29, 2017
      • Advisory employees · 6 to 4
        Aug 4, 2016 to Mar 29, 2017
      • Assets in custody · $155M to $110M
        Aug 4, 2016 to Mar 29, 2017
      • Employees · 7 to 5
        Aug 4, 2016 to Mar 29, 2017
      • Private funds · 4 to 3
        Aug 4, 2016 to Mar 29, 2017
      • Discretionary RAUM · $155M to $110M
        Aug 4, 2016 to Mar 29, 2017
      • RAUM · $155M to $110M
        Aug 4, 2016 to Mar 29, 2017
      • Advisory employees · 7 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $207M to $155M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 8 to 7
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $207M to $155M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $207M to $155M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 8 to 4
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 10 to 7
        Mar 28, 2014 to Mar 31, 2015
      • Advisory activities · 2 to 1
        Mar 28, 2014 to Mar 31, 2015
      • Assets in custody · $73.6M to $207M
        Mar 28, 2014 to Mar 31, 2015
      • Employees · 11 to 8
        Mar 28, 2014 to Mar 31, 2015
      • Private funds · 10 to 4
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $620M to $207M
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $620M to $207M
        Mar 28, 2014 to Mar 31, 2015
      • Accounts · 13 to 8
        Nov 15, 2013 to Mar 28, 2014
      • Advisory employees · 12 to 10
        Nov 15, 2013 to Mar 28, 2014
      • Assets in custody · $1.4B to $73.6M
        Nov 15, 2013 to Mar 28, 2014
      • Employees · 14 to 11
        Nov 15, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.8B to $620M
        Nov 15, 2013 to Mar 28, 2014
      • RAUM · $1.8B to $620M
        Nov 15, 2013 to Mar 28, 2014
      • Private funds · 14 to 10
        Oct 7, 2013 to Nov 15, 2013
      • Private funds · 11 to 14
        Apr 1, 2013 to Oct 7, 2013
      • Advisory employees · unset to 12.0
        Mar 29, 2012 to Apr 1, 2013
      • Assets in custody · $1.4B to $1.4B
        Mar 29, 2012 to Apr 1, 2013
      • Employees · unset to 14.0
        Mar 29, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Apr 1, 2013
      • Discretionary RAUM · $1.9B to $1.8B
        Mar 29, 2012 to Apr 1, 2013
      • RAUM · $1.9B to $1.8B
        Mar 29, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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