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

L•••••• C•••••• P•••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 137646SEC 801-65503IAPD
Latest filing Sep 30, 2016
First filing on the tape Mar 22, 2012 · 13 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$63.0M as of Mar 30, 2016
Mar 22, 2012$395M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 22, 20120 then
Employees (5.A)6 as of Mar 30, 2016
Mar 22, 201312 then
Private funds2 as of Mar 30, 2016
Mar 22, 20123 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 30, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-69%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
  • 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
n/areported
Financial planning clients
0reported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••••• F•••• M••••• F•••• L•no longer reportedHedge Fund$74.0M10Mar 22, 2012
      L•••••• C•••• V•••• M••••• F•••• L•no longer reportedHedge Fund$16.0M35May 2, 2013
      L•••••• P•••••••• L•Hedge Fund$6.0M8Mar 22, 2012
      L•••••• C•••••• M••••• F•••• L••Hedge Fund$5.0M1May 2, 2013
      L•••••• C•••••• I••••••••• F•••• L•••no longer reportedHedge Fund$3.0M1Mar 22, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••••• T•••••• M•••••• · Managing Partnercontrol
        since 09/2003 · owns 75% or more
      • F••••••••• T•••••• M•••••• · General Partnercontrol
        since 10/2003 · owns 75% or more of L•••••• G•• L••
      • F•••• C•••••• W•••••• · Chief Compliance Officer
        since 12/2014 · owns less than 5%
      Entity owners
      • L•••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8.0 to unset
        Mar 30, 2016 to Sep 30, 2016
      • Advisory employees · 5 to 1
        Mar 30, 2016 to Sep 30, 2016
      • Assets in custody · $63.0M to $0
        Mar 30, 2016 to Sep 30, 2016
      • Custody of client assets · true to false
        Mar 30, 2016 to Sep 30, 2016
      • Employees · 6 to 3
        Mar 30, 2016 to Sep 30, 2016
      • Private funds · 2 to unset
        Mar 30, 2016 to Sep 30, 2016
      • Discretionary RAUM · 63000000.0 to unset
        Mar 30, 2016 to Sep 30, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Mar 30, 2016 to Sep 30, 2016
      • RAUM · 63000000.0 to unset
        Mar 30, 2016 to Sep 30, 2016
      • Related adviser · true to false
        Mar 30, 2016 to Sep 30, 2016
      • Related bank · true to false
        Mar 30, 2016 to Sep 30, 2016
      • Accounts · 10 to 8
        Oct 8, 2015 to Mar 30, 2016
      • Assets in custody · $135M to $63.0M
        Oct 8, 2015 to Mar 30, 2016
      • Discretionary RAUM · $135M to $63.0M
        Oct 8, 2015 to Mar 30, 2016
      • RAUM · $135M to $63.0M
        Oct 8, 2015 to Mar 30, 2016
      • Accounts · 12 to 10
        Mar 16, 2015 to Jul 28, 2015
      • Advisory employees · 8 to 5
        Mar 16, 2015 to Jul 28, 2015
      • Assets in custody · $203M to $135M
        Mar 16, 2015 to Jul 28, 2015
      • Employees · 9 to 6
        Mar 16, 2015 to Jul 28, 2015
      • Private funds · 3 to 2
        Mar 16, 2015 to Jul 28, 2015
      • Discretionary RAUM · $203M to $135M
        Mar 16, 2015 to Jul 28, 2015
      • RAUM · $203M to $135M
        Mar 16, 2015 to Jul 28, 2015
      • Accounts · 11 to 12
        Jul 30, 2014 to Mar 16, 2015
      • Advisory employees · 9 to 8
        Jul 30, 2014 to Mar 16, 2015
      • Assets in custody · $236M to $203M
        Jul 30, 2014 to Mar 16, 2015
      • Discretionary RAUM · $236M to $203M
        Jul 30, 2014 to Mar 16, 2015
      • RAUM · $236M to $203M
        Jul 30, 2014 to Mar 16, 2015
      • Advisory employees · 12 to 9
        Feb 3, 2014 to Jul 30, 2014
      • Employees · 12 to 9
        Feb 3, 2014 to Jul 30, 2014
      • Private funds · 4 to 3
        Feb 3, 2014 to Jul 30, 2014
      • Advisory employees · 13 to 12
        May 2, 2013 to Feb 3, 2014
      • Assets in custody · $288M to $236M
        May 2, 2013 to Feb 3, 2014
      • Employees · 13 to 12
        May 2, 2013 to Feb 3, 2014
      • Discretionary RAUM · $288M to $236M
        May 2, 2013 to Feb 3, 2014
      • RAUM · $288M to $236M
        May 2, 2013 to Feb 3, 2014
      • Accounts · 4 to 11
        Mar 25, 2013 to May 2, 2013
      • Advisory employees · 10 to 13
        Mar 25, 2013 to May 2, 2013
      • Advisory activities · 2 to 1
        Mar 25, 2013 to May 2, 2013
      • Employees · 12 to 13
        Mar 25, 2013 to May 2, 2013
      • Private funds · 3 to 4
        Mar 25, 2013 to May 2, 2013
      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