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

N•• P••••••••• A•••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 137727SEC 801-65426IAPD
Latest filing Mar 29, 2021
First filing on the tape Mar 29, 2012 · 19 filings
RAUM
$2.8B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
25%
$700M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$610M gross assets
History
19 filings and snapshots on the tape
RAUM$2.8B as of Mar 29, 2021
Mar 29, 2012$2.0B then
HNW client RAUM$700M as of Mar 29, 2021
Mar 30, 2018$639M then
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Mar 29, 20120 then
Employees (5.A)16 as of Mar 29, 2021
Mar 27, 201317 then
Private funds4 as of Mar 29, 2021
Mar 29, 20124 then
RAUM -0.2% over the last fiscal year+1.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2021; 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
$87.5MderivedHNW RAUM over HNW clients
Average account
$123MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
20%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
-0.2%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$2.0B, 19 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$700M36%
  • Pooled investment vehicles$656M34%
  • Charitable organizations$575M30%
Individual clients
n/areported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
8reported
Accounts
23reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.0B for 19 clientsreported
Compensation
% of AUMreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•• P••••••••• B••••••• P•••••••• L•Other Private Fund$281M25Mar 29, 2012
      N•• P••••••••• O•••••• B••••••• P•••••••• L•Other Private Fund$244M40Mar 29, 2012
      N•• P••••••••• D••••••••• S••••••••• P•••••••• L•Other Private Fund$59.8M10Mar 28, 2020
      N•• P••••••••• I••••••••• P•••••••• L•Other Private Fund$25.6M10Mar 30, 2018
      N•• P••••••••• A••••••••• L•no longer reportedHedge Fund$039Mar 29, 2012
      N•• P••••••••• F••• L••no longer reportedHedge Fund$012Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J•••••••• G••••• · Managing Directorcontrol
        since 06/2014 · owns 10% to 25%
      • F•••••• P•••••• · Managing Directorcontrol
        since 10/2010 · owns 10% to 25%
      • M•••••• S••••••• S•••• · Chief Financial Officercontrol
        since 08/2006 · owns 5% to 10%
      • O••••• L••••• R•• · Managing Directorcontrol
        since 01/2005 · owns 5% to 10%
      • P••••••• J•••• P••••• · Managing Directorcontrol
        since 01/2017 · owns 5% to 10%
      • S••••••• M••••••• S•••••• · Managing Directorcontrol
        since 01/2017 · owns 5% to 10%
      • V••••••••• A•••••• W••• · Managing Directorcontrol
        since 06/2003 · owns 10% to 25%
      • V••••••••• J•••• L••••• · Managing Directorcontrol
        since 05/2003 · owns less than 5%
      • V••••••••• J•••• L••••• · Trusteecontrol
        since 07/2008 · owns F of T•• J••• L• V••••••••• R•••••••• T••••
      • V••••••••• J•••• L••••• · Managing Membercontrol
        since 05/2015 · owns 75% or more of J•• H••••••• I• L••
      Entity owners
      • N••• G• L•• · General Partner
        direct · owns less than 5%
      • T•• J••• L• V••••••••• R•••••••• T•••• · Limited Partner
        direct · owns 10% to 25%
      • T•• J••• L• V••••••••• R•••••••• T•••• · Managing Member
        indirect · owns F of N••• G• L••
      • J•• H••••••• I• L•• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 24 to 23
        Sep 14, 2020 to Mar 29, 2021
      • Advisory employees · 11 to 12
        Sep 14, 2020 to Mar 29, 2021
      • Assets in custody · $1.8B to $2.0B
        Sep 14, 2020 to Mar 29, 2021
      • Employees · 17 to 16
        Sep 14, 2020 to Mar 29, 2021
      • Discretionary RAUM · $2.8B to $2.8B
        Sep 14, 2020 to Mar 29, 2021
      • HNW RAUM · $721M to $700M
        Sep 14, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $3.4M to $79.3M
        Sep 14, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $750M to $656M
        Sep 14, 2020 to Mar 29, 2021
      • RAUM · $2.8B to $2.8B
        Sep 14, 2020 to Mar 29, 2021
      • Related adviser · false to true
        Jun 26, 2020 to Sep 14, 2020
      • Accounts · 18 to 24
        Mar 29, 2019 to Mar 28, 2020
      • Advisory employees · 12 to 11
        Mar 29, 2019 to Mar 28, 2020
      • Charity clients · 6 to 8
        Mar 29, 2019 to Mar 28, 2020
      • HNW clients · 5 to 8
        Mar 29, 2019 to Mar 28, 2020
      • Pooled vehicle clients · 3 to 4
        Mar 29, 2019 to Mar 28, 2020
      • Assets in custody · $1.6B to $1.8B
        Mar 29, 2019 to Mar 28, 2020
      • Employees · 20 to 17
        Mar 29, 2019 to Mar 28, 2020
      • Private funds · 3 to 4
        Mar 29, 2019 to Mar 28, 2020
      • Discretionary RAUM · $2.5B to $2.8B
        Mar 29, 2019 to Mar 28, 2020
      • HNW RAUM · $629M to $721M
        Mar 29, 2019 to Mar 28, 2020
      • Non-discretionary RAUM · $3.6M to $3.4M
        Mar 29, 2019 to Mar 28, 2020
      • Pooled vehicle RAUM · $699M to $750M
        Mar 29, 2019 to Mar 28, 2020
      • RAUM · $2.5B to $2.8B
        Mar 29, 2019 to Mar 28, 2020
      • Advisory employees · 11 to 12
        Mar 30, 2018 to Mar 29, 2019
      • Charity clients · 15 to 6
        Mar 30, 2018 to Mar 29, 2019
      • HNW clients · 15 to 5
        Mar 30, 2018 to Mar 29, 2019
      • Assets in custody · $1.3B to $1.6B
        Mar 30, 2018 to Mar 29, 2019
      • Employees · 19 to 20
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $2.7B to $2.5B
        Mar 30, 2018 to Mar 29, 2019
      • HNW RAUM · $639M to $629M
        Mar 30, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $2.3M to $3.6M
        Mar 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $712M to $699M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $2.7B to $2.5B
        Mar 30, 2018 to Mar 29, 2019
      • Accounts · 21 to 18
        Mar 31, 2017 to Mar 30, 2018
      • Charity clients · unset to 15.0
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 15.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $1.4B to $1.3B
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 18 to 19
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      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