DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••••• I••••••••• M••••••••• I••
Latest filing Mar 19, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Jan 23, 2006
RAUM
$384M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$384M as of Mar 19, 2026
Mar 29, 2012$1.7B then
HNW client RAUM$0 as of Mar 19, 2026
Mar 15, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 29, 20120 then
Employees (5.A)7 as of Mar 19, 2026
Mar 28, 201329 then
Private funds4 as of Mar 19, 2026
Mar 29, 20129 then
RAUM +9.0% over the last fiscal year+4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; 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
- $48.0MderivedRAUM 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
- +9.0%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
- yesreportedItem 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- 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
- Pooled investment vehicles$384M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• M••••• F•••• L••• | Hedge Fund | $134M | 56 | Mar 29, 2012 |
| C••••••• G••••• M••••• F•••• L••• | Hedge Fund | $110M | 25 | Mar 29, 2012 |
| C••••••• F••• I•• L•••no longer reported | Hedge Fund | $102M | 2 | Aug 4, 2014 |
| C••••••• E••••• •• U•• M••••• F••• S••• L•••no longer reported | Hedge Fund | $93.3M | 2 | Mar 29, 2012 |
| C••••••• A••• M••••• F••• S••• L••• • J••••no longer reported | Hedge Fund | $92.2M | 2 | Mar 29, 2012 |
| C••••••• E••••• M••••• F••• S••• L••• | Hedge Fund | $59.9M | 11 | Mar 29, 2012 |
| P• A•• I•• A• S••••••• O• P••••• M•••••• A•••••• P••••••• I•••no longer reported | Hedge Fund | $37.1M | 5 | Feb 23, 2016 |
| C••••••• J•••• M••••• F•••• L••• | Hedge Fund | $31.0M | 11 | Mar 28, 2013 |
| A•• S•••••• L•••no longer reported | Hedge Fund | $27.7M | 1 | Mar 27, 2015 |
| C••••••• A••• M••••• F••• S••• L••• • A•••no longer reported | Hedge Fund | $23.0M | 13 | Mar 29, 2012 |
| A•• I••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $22.6M | 12 | Mar 29, 2012 |
| P••••••• M••••• F•••• L••• | Hedge Fund | $18.7M | 7 | Mar 29, 2012 |
| P••••• A••• L•••no longer reported | Hedge Fund | $10.1M | 4 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R••••••• A••••••••• J• · President And Chief Investment Officercontrolsince 01/1988 · owns 75% or more
- M••• E••••• · Chief Compliance Officer And Chief Financial Officersince 07/2023 · owns less than 5%
Entity owners
- A•• 2••• R•••••••• T•••• · A••••••• Is Owned 100% By A Trust For The Benefit Of A•••••••• J. R•••••• And Members Of His Family.direct · owns 75% or more
Related persons
Schedule D 7.A
- A•••••••• J• R•••••• H•••••••• L•••pooled vehicle sponsorn
- A•••••••• J• R••••••• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 8Mar 21, 2025 to Mar 19, 2026
- Corporate clients · 1 to 0Mar 21, 2025 to Mar 19, 2026
- Employees · 9 to 7Mar 21, 2025 to Mar 19, 2026
- Discretionary RAUM · $352M to $384MMar 21, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $311M to $384MMar 21, 2025 to Mar 19, 2026
- RAUM · $352M to $384MMar 21, 2025 to Mar 19, 2026
- Employees · 8 to 9Mar 18, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 21, 2025
- Discretionary RAUM · $370M to $352MMar 18, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $336M to $311MMar 18, 2024 to Mar 21, 2025
- RAUM · $370M to $352MMar 18, 2024 to Mar 21, 2025
- Accounts · 11 to 9Jul 5, 2023 to Mar 18, 2024
- Advisory employees · 5 to 4Jul 5, 2023 to Mar 18, 2024
- Pooled vehicle clients · 10 to 8Jul 5, 2023 to Mar 18, 2024
- Employees · 9 to 8Jul 5, 2023 to Mar 18, 2024
- Private funds · 5 to 4Jul 5, 2023 to Mar 18, 2024
- Discretionary RAUM · $337M to $370MJul 5, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $303M to $336MJul 5, 2023 to Mar 18, 2024
- RAUM · $337M to $370MJul 5, 2023 to Mar 18, 2024
- Advisory employees · 6 to 5Mar 23, 2023 to Jul 5, 2023
- Employees · 11 to 9Mar 23, 2023 to Jul 5, 2023
- Accounts · 20 to 11Mar 23, 2022 to Mar 23, 2023
- Advisory employees · 8 to 6Mar 23, 2022 to Mar 23, 2023
- Advisory activities · 3 to 2Mar 23, 2022 to Mar 23, 2023
- Corporate clients · unset to 1.0Mar 23, 2022 to Mar 23, 2023
- Pension plan clients · unset to 0.0Mar 23, 2022 to Mar 23, 2023
- Pooled vehicle clients · 16 to 10Mar 23, 2022 to Mar 23, 2023
- Employees · 14 to 11Mar 23, 2022 to Mar 23, 2023
- Discretionary RAUM · $582M to $337MMar 23, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $941M to $0Mar 23, 2022 to Mar 23, 2023
- Pension RAUM · $246M to $0Mar 23, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $1.0B to $303MMar 23, 2022 to Mar 23, 2023
- RAUM · $1.5B to $337MMar 23, 2022 to Mar 23, 2023
- Advisory employees · 9 to 8Mar 19, 2021 to Mar 23, 2022
- Employees · 16 to 14Mar 19, 2021 to Mar 23, 2022
- Discretionary RAUM · $570M to $582MMar 19, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $1.4B to $941MMar 19, 2021 to Mar 23, 2022
- Pension RAUM · $358M to $246MMar 19, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $1.3B to $1.0BMar 19, 2021 to Mar 23, 2022
- RAUM · $2.0B to $1.5BMar 19, 2021 to Mar 23, 2022
Signals
2 dated events
- A••••••• I••••••••• M••••••••• I•• reported RAUM $336.7M, down 78% from $1.5B (2022-03-23 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- A••••••• I••••••••• M••••••••• I•• reported RAUM $2.0B, up 47% from $1.4B (2020-03-17 to 2021-03-19)Mar 19, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- A•••••••INVESTMENT.NETreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-484-5050reportedpublic record, Form ADV, Mar 19, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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