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

I•• A•••• M••••••••• B•••

Former SEC-registered adviserAmsterdam, CRD 136225SEC 801-64630IAPD
Latest filing Apr 18, 2016
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$597M
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$176M gross assets
History
23 filings and snapshots on the tape
RAUM$597M as of Mar 21, 2016
Mar 30, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2016
Mar 30, 20120 then
Employees (5.A)10 as of Mar 21, 2016
Mar 28, 201321 then
Private funds1 as of Mar 21, 2016
Mar 27, 20142 then
RAUM -34% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 18, 2016; 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
$99.5MderivedRAUM 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
-34%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 vehiclesreportedItem 5.G
Custody
$597M, 6 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)
  • 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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$597M for 6 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I•• Q••••••••• I•••••••• F•••Hedge Fund$181M15Jan 17, 2014
      I•• C••••• F•••Hedge Fund$176M31Nov 7, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• N••••• H•••• · Managing Directorcontrol
        since 08/2013 · owns less than 5%
      • V•• D•• L•••••• P•••••• J••••••• · Managing Directorcontrol
        since 01/2005 · owns less than 5%
      • D••••••• R•••••• H••• · Ownercontrol
        since 09/2002 · owns 75% or more of S•••••••• A••••••••• H••••••
      • M•••••••• B••••• D•••• · Chief Compliance Officer
        since 03/2016 · owns less than 5%
      Entity owners
      • I•• B••• · Member/Shareholder
        direct · owns 75% or more
      • H•••••• H••••••••• B••• · Shareholder
        indirect · owns 50% to 75% of I•• B•••
      • S•••••••• A••••••••• H•••••• · Shareholder
        indirect · owns 75% or more of H•••••• H••••••••• B•••
      • S•••••••• F•• V••••••••• · Shareholder
        indirect · owns 25% to 50% of Imc Bv
      Related persons
      Schedule D 7.A
      Advisers that list I•• A•••• M••••••••• B••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 6
        Aug 12, 2015 to Mar 21, 2016
      • Advisory employees · 8 to 5
        Aug 12, 2015 to Mar 21, 2016
      • Assets in custody · $856M to $597M
        Aug 12, 2015 to Mar 21, 2016
      • Employees · 26 to 10
        Aug 12, 2015 to Mar 21, 2016
      • Private funds · 2 to 1
        Aug 12, 2015 to Mar 21, 2016
      • Discretionary RAUM · $910M to $597M
        Aug 12, 2015 to Mar 21, 2016
      • RAUM · $910M to $597M
        Aug 12, 2015 to Mar 21, 2016
      • Accounts · 10 to 11
        Feb 5, 2015 to Mar 26, 2015
      • Advisory employees · 9 to 8
        Feb 5, 2015 to Mar 26, 2015
      • Assets in custody · $948M to $856M
        Feb 5, 2015 to Mar 26, 2015
      • Employees · 25 to 26
        Feb 5, 2015 to Mar 26, 2015
      • Discretionary RAUM · $976M to $910M
        Feb 5, 2015 to Mar 26, 2015
      • RAUM · $976M to $910M
        Feb 5, 2015 to Mar 26, 2015
      • Accounts · 7 to 10
        Jan 17, 2014 to Mar 27, 2014
      • Advisory employees · 11 to 9
        Jan 17, 2014 to Mar 27, 2014
      • Advisory activities · 1 to 2
        Jan 17, 2014 to Mar 27, 2014
      • Assets in custody · $1.0B to $948M
        Jan 17, 2014 to Mar 27, 2014
      • Employees · 21 to 25
        Jan 17, 2014 to Mar 27, 2014
      • Discretionary RAUM · $930M to $976M
        Jan 17, 2014 to Mar 27, 2014
      • RAUM · $930M to $976M
        Jan 17, 2014 to Mar 27, 2014
      • Related bank · false to true
        Jan 17, 2014 to Mar 27, 2014
      • Private funds · 1 to 2
        Nov 7, 2013 to Jan 17, 2014
      • Private funds · unset to 1
        Jul 31, 2013 to Nov 7, 2013
      • Accounts · 10 to 7
        Jul 10, 2013 to Jul 31, 2013
      • Discretionary RAUM · $1.0B to $930M
        Jul 10, 2013 to Jul 31, 2013
      • RAUM · $1.0B to $930M
        Jul 10, 2013 to Jul 31, 2013
      • Accounts · 9 to 10
        Nov 8, 2012 to Mar 28, 2013
      • Advisory employees · 13 to 11
        Nov 8, 2012 to Mar 28, 2013
      • Assets in custody · $1.3B to $1.0B
        Nov 8, 2012 to Mar 28, 2013
      • Employees · 24 to 21
        Nov 8, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.3B to $1.0B
        Nov 8, 2012 to Mar 28, 2013
      • RAUM · $1.3B to $1.0B
        Nov 8, 2012 to Mar 28, 2013
      • Advisory employees · unset to 13.0
        Jul 3, 2012 to Nov 8, 2012
      • Employees · unset to 24.0
        Jul 3, 2012 to Nov 8, 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