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

E•• F•••••••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 136503SEC 801-65549IAPD
Latest filing Mar 28, 2013
First filing on the tape Nov 8, 2011 · 3 filings
RAUM
$6.6B
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
14
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$5.0B gross assets
History
3 filings and snapshots on the tape
RAUM$6.6B as of Mar 28, 2013
Mar 29, 2012$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 14
Private funds1 as of Mar 28, 2013
Mar 29, 20121 then
RAUM -49% over the last fiscal year
Practice profile
derived from the filing of Mar 28, 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
$2.2BderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-49%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
$5.0B, 1 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)
  • 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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$5.0B for 1 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•• F•••• I••••• F•••• L•••Hedge Fund$5.0B47Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• E•••• M••••• · Presidentcontrol
        since 07/1998 · owns 50% to 75%
      • G•••••••• D••••• C••• · Senior Principalcontrol
        since 03/2003 · owns 25% to 50%
      • M••••••• V••••••• H• · Senior Vice Presidentcontrol
        since 10/2000 · owns less than 5%
      • M••••••••• A••••••• V•••••• · Senior Vice Presidentcontrol
        since 10/1998 · owns less than 5%
      • T••••••• H••••• W•••••• · Chief Compliance Officer, Cfocontrol
        since 08/2000 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Princeton, NJ
      • ,
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 7.0
        Mar 29, 2012 to Mar 28, 2013
      • Assets in custody · $9.2B to $5.0B
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 14.0
        Mar 29, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $13B to $6.6B
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $13B to $6.6B
        Mar 29, 2012 to Mar 28, 2013
      • Advisory activities · 1 to 2
        Nov 8, 2011 to Mar 29, 2012
      • Assets in custody · $7.0B to $9.2B
        Nov 8, 2011 to Mar 29, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 8, 2011 to Mar 29, 2012
      • Private funds · unset to 1
        Nov 8, 2011 to Mar 29, 2012
      • Discretionary RAUM · $7.0B to $13B
        Nov 8, 2011 to Mar 29, 2012
      • RAUM · $7.0B to $13B
        Nov 8, 2011 to Mar 29, 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