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

A••••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 137799SEC 801-65815IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 27, 2012 · 11 filings
RAUM
$85.2M
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
9
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$63.0M gross assets
History
11 filings and snapshots on the tape
RAUM$85.2M as of Mar 31, 2017
Mar 27, 2012$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 28, 20130 then
Employees (5.A)9 as of Mar 31, 2017
Mar 28, 201330 then
Private funds2 as of Mar 31, 2017
Mar 27, 20124 then
RAUM -48% over the last fiscal year-51% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$42.6MderivedRAUM 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
-48%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
Custody
$117,368, 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)
  • 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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$117,368 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••• G••••• E••••••• P••••••••• L•Hedge Fund$43.1M7Mar 27, 2012
      A••••••• M•••• P••••••••• L•Hedge Fund$28.4M3Mar 27, 2012
      A••••••• G••••• M•••• F••• L••Hedge Fund$4.5M4Mar 27, 2012
      A••••••• W•••••••• E••••••• F••• L••no longer reportedHedge Fund$283,0001Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• D••••• E••• · Limited Partnercontrol
        since 06/1993 · owns 75% or more
      • S••••••••• G•••• M•••• · Chief Compliance Officercontrol
        since 11/2012 · owns less than 5%
      • V•• D•••••• P•••• L••••••• · Chief Financial Officercontrol
        since 05/2013 · owns less than 5%
      • G••••••••• D••••• E••• · Shareholdercontrol
        since 06/1993 · owns 75% or more of A••••••• C•••••• M••••••••• C•••
      Entity owners
      • A••••••• C•••••• M••••••••• C••• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A••••••• C•••••• M••••••••• C•••
        pooled vehicle sponsorn
      • A••••••• C••••••• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 2
        Mar 28, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Mar 28, 2016 to Mar 31, 2017
      • Assets in custody · $3.1M to $117,368
        Mar 28, 2016 to Mar 31, 2017
      • Private funds · 3 to 2
        Mar 28, 2016 to Mar 31, 2017
      • Discretionary RAUM · $162M to $85.2M
        Mar 28, 2016 to Mar 31, 2017
      • RAUM · $162M to $85.2M
        Mar 28, 2016 to Mar 31, 2017
      • Accounts · 4 to 5
        Aug 25, 2015 to Mar 28, 2016
      • Advisory employees · 8 to 7
        Aug 25, 2015 to Mar 28, 2016
      • Advisory activities · 1 to 2
        Aug 25, 2015 to Mar 28, 2016
      • Assets in custody · $112M to $3.1M
        Aug 25, 2015 to Mar 28, 2016
      • Employees · 12 to 9
        Aug 25, 2015 to Mar 28, 2016
      • Discretionary RAUM · $271M to $162M
        Aug 25, 2015 to Mar 28, 2016
      • RAUM · $271M to $162M
        Aug 25, 2015 to Mar 28, 2016
      • Accounts · 5 to 4
        Mar 27, 2014 to Mar 20, 2015
      • Advisory employees · 9 to 8
        Mar 27, 2014 to Mar 20, 2015
      • Assets in custody · $383M to $112M
        Mar 27, 2014 to Mar 20, 2015
      • Employees · 14 to 12
        Mar 27, 2014 to Mar 20, 2015
      • Organization form · Partnership to Limited Partnership
        Mar 27, 2014 to Mar 20, 2015
      • Discretionary RAUM · $711M to $271M
        Mar 27, 2014 to Mar 20, 2015
      • RAUM · $711M to $271M
        Mar 27, 2014 to Mar 20, 2015
      • Accounts · 6 to 5
        May 6, 2013 to Mar 27, 2014
      • Advisory employees · 17 to 9
        May 6, 2013 to Mar 27, 2014
      • Assets in custody · unset to 383000000.0
        May 6, 2013 to Mar 27, 2014
      • Custody of client assets · false to true
        May 6, 2013 to Mar 27, 2014
      • Employees · 30 to 14
        May 6, 2013 to Mar 27, 2014
      • Private funds · 4 to 3
        May 6, 2013 to Mar 27, 2014
      • Discretionary RAUM · $1.5B to $711M
        May 6, 2013 to Mar 27, 2014
      • RAUM · $1.5B to $711M
        May 6, 2013 to Mar 27, 2014
      • Accounts · 9 to 6
        Nov 12, 2012 to Mar 28, 2013
      • Advisory activities · 2 to 1
        Nov 12, 2012 to Mar 28, 2013
      • Discretionary RAUM · $2.5B to $1.5B
        Nov 12, 2012 to Mar 28, 2013
      • RAUM · $2.5B to $1.5B
        Nov 12, 2012 to Mar 28, 2013
      • Advisory employees · unset to 17.0
        Apr 17, 2012 to Nov 12, 2012
      • Employees · unset to 30.0
        Apr 17, 2012 to Nov 12, 2012
      • State-registered IARs · unset to 0.0
        Apr 17, 2012 to Nov 12, 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