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

M•••••••• C••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 135943SEC 801-65508IAPD
Latest filing Jun 18, 2013
First filing on the tape Nov 8, 2011 · 7 filings
RAUM
$55.5M
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
10
$109M gross assets
History
7 filings and snapshots on the tape
RAUM$55.5M as of Mar 28, 2013
Mar 30, 2012$72.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 5
Private funds10 as of Mar 28, 2013
Mar 30, 201210 then
RAUM -24% over the last fiscal year
Practice profile
derived from the filing of Jun 18, 2013; 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
$5.5MderivedRAUM 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
-24%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
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
10reported
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
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••••••• I••••••••• L•••Hedge Fund$32.2M60Mar 30, 2012
      M•••••••• S•••• C•• M•••••• L•••Hedge Fund$20.4M28Mar 30, 2012
      M•••••••• P•••••••• L•••Hedge Fund$16.4M21Mar 30, 2012
      M•••••••• S•••• C••• L•••Hedge Fund$14.4M17Mar 30, 2012
      M•••••••• P•••••••• L•••Hedge Fund$7.6M7Mar 30, 2012
      M•••••••• S•••• C••• L•••Hedge Fund$5.9M11Mar 30, 2012
      M•••••••• P••••••• I•• L•••Hedge Fund$5.7M19Mar 30, 2012
      M•••••••• V•••••••• L•••Private Equity Fund$2.8M16Mar 30, 2012
      M•••••••• P••••••• I•• L•••Hedge Fund$2.5M12Mar 30, 2012
      M•••••••• V•••••••• L•••Private Equity Fund$1.5M12Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• M•••••• A• · Co-Managing Membercontrol
        since 05/2002 · owns 25% to 50%
      • T•••••• J•••••• A••••• · Co-Managing Member And Chief Compliance Officercontrol
        since 12/2008 · owns 50% to 75%
      • A••••••• T•••• · Trusteecontrol
        since 01/2007 · owns 25% to 50% of 2••• D•••• A•••••• T••••
      • A••••••• T•••• · Trusteecontrol
        since 01/2007 · owns 25% to 50% of 2••• J••••• A•••••• T••••
      • A••••••• T•••• · Managercontrol
        since 01/2007 · owns 25% to 50% of A•••••• F••••• L••
      • A••••••• T•••• · Trusteecontrol
        since 01/2007 · owns 25% to 50% of 2••• A•••••• A•••••• T••••
      • A••••••• A••••••• C•••• · Beneficiary
        since 01/2007 · owns 75% or more of A•••••• A•••••• Trust
      • A••••••• D••••• A•••••••• · Beneficiary
        since 01/2007 · owns 75% or more of D•••• A•••••• Trust
      • A••••••• J•••••• M••••• · Beneficiary
        since 01/2007 · owns 75% or more of J••••• A•••••• Trust
      Entity owners
      • A•••••• F••••• L•• · Member
        direct · owns 10% to 25%
      • 2••• A•••••• A•••••• T•••• · Member
        indirect · owns 25% to 50% of A•••••• F••••• L••
      • 2••• D•••• A•••••• T•••• · Member
        indirect · owns 25% to 50% of A•••••• F••••• L••
      • 2••• J••••• A•••••• T•••• · Member
        indirect · owns 25% to 50% of A•••••• F••••• L••
      Related persons
      Schedule D 7.A
      • M•••••••• A••••••• I•• L••
        pooled vehicle sponsorn
      • M•••••••• A•••••••• L••
        pooled vehicle sponsorn
      • M•••••••• S•••• C•• A•••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 4
        Nov 26, 2012 to Mar 28, 2013
      • Employees · 6 to 5
        Nov 26, 2012 to Mar 28, 2013
      • Discretionary RAUM · $61.7M to $55.5M
        Nov 26, 2012 to Mar 28, 2013
      • RAUM · $61.7M to $55.5M
        Nov 26, 2012 to Mar 28, 2013
      • Advisory employees · unset to 5.0
        Mar 30, 2012 to Nov 26, 2012
      • Employees · unset to 6.0
        Mar 30, 2012 to Nov 26, 2012
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Nov 26, 2012
      • Discretionary RAUM · $72.7M to $61.7M
        Mar 30, 2012 to Nov 26, 2012
      • RAUM · $72.7M to $61.7M
        Mar 30, 2012 to Nov 26, 2012
      • Assets in custody · 63448781.0 to unset
        Nov 8, 2011 to Mar 30, 2012
      • Custody of client assets · true to false
        Nov 8, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 8, 2011 to Mar 30, 2012
      • Private funds · unset to 10
        Nov 8, 2011 to Mar 30, 2012
      • Discretionary RAUM · $105M to $72.7M
        Nov 8, 2011 to Mar 30, 2012
      • RAUM · $105M to $72.7M
        Nov 8, 2011 to Mar 30, 2012
      • Related bank · false to true
        Nov 8, 2011 to Mar 30, 2012
      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