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

S•••••• A•••• M••••••••• C••••

Former SEC-registered adviserNew York, New YorkCRD 137834SEC 801-71398IAPD
Latest filing Jun 7, 2019
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$491M
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
12
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$263M gross assets
History
23 filings and snapshots on the tape
RAUM$491M as of Mar 29, 2019
Mar 30, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 27, 20130 then
Employees (5.A)12 as of Mar 29, 2019
Mar 27, 201323 then
Private funds2 as of Mar 29, 2019
Mar 30, 201210 then
RAUM -49% over the last fiscal year-7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 7, 2019; 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
$30.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 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
$72.9M, 7 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)
  • 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$289M59%
  • Corporations and businesses$150M31%
  • Insurance companies$52.0M11%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$72.9M for 7 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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• I••••••••• L••••••no longer reportedHedge Fund$553M165Mar 30, 2012
      C••••••••• I••••••••• H••••••• L••••••no longer reportedHedge Fund$545M166Mar 30, 2012
      C••••••••• O••••••• H•••••••• L•••no longer reportedHedge Fund$543M166Mar 30, 2012
      C••••••••• M••••• I••••••••• L•••Hedge Fund$221M19Mar 30, 2012
      C••••••••• M••••• A•••••••• A•• E••••• E•••• M••••• F•••• L•••no longer reportedHedge Fund$125M4Mar 30, 2012
      C••••••••• M••••• A•••••••• A•• E••••• E•••• I••••••••• F•••• L•no longer reportedHedge Fund$60.4M7Mar 30, 2012
      C••••••••• M••••• A•••••••• A•• E••••• E•••• F•••• L•••no longer reportedHedge Fund$60.4M5Mar 30, 2012
      C••••••••• A••••• I••••••••• M••••• F•••• L•••no longer reportedHedge Fund$52.4M3Mar 28, 2014
      C••••••••• M••••• A•••••••• E••••••• M••••• F•••• L•••Hedge Fund$42.2M5Oct 23, 2017
      C••••••••• P•••••••• L•••no longer reportedHedge Fund$28.4M36Mar 30, 2012
      K•••••• M••••• L•••no longer reportedHedge Fund$13.5M0Mar 27, 2013
      C••••••••• M••••• A•••••••• A•• E••••• E•••• F•••• L•••no longer reportedHedge Fund$12.0M2Mar 30, 2012
      C••••••••• G• H•••••••• L•••no longer reportedHedge Fund$7.8M165Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• D••••• · Chief Financial Officercontrol
        since 07/2014 · owns less than 5%
      • L•••••• T•••• · Chief Compliance Officercontrol
        since 02/2017 · owns less than 5%
      • M•••••• D••••• · Directorcontrol
        since 01/2013 · owns less than 5%
      • S••••••• T•••••• E••• · Chief Executive Officercontrol
        since 10/1997 · owns less than 5%
      • S••••••• T•••••• E••• · Managing Membercontrol
        since 12/2013 · owns 75% or more of S•••••• P••••••• L••
      • S••••••• T•••••• E••• · Sole L•••••• Partnercontrol
        since 12/2013 · owns 75% or more of S••• P••••••• L•
      Entity owners
      • S•••••• H••••••• L•• · Owner
        direct · owns 75% or more
      • S••• P••••••• L• · Sole Member
        indirect · owns 75% or more of S•••••• H••••••• L••
      • S•••••• P••••••• L•• · General Partner
        indirect · owns F of S••• P••••••• L•
      Related persons
      Schedule D 7.A
      Advisers that list S•••••• A•••• M••••••••• C•••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Boca Raton, FL1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 16
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 5 to 4
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $532M to $72.9M
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 15 to 12
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $965M to $491M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $628M to $289M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $965M to $491M
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 6 to 5
        Oct 23, 2017 to Mar 29, 2018
      • Corporate clients · 1.0 to unset
        Oct 23, 2017 to Mar 29, 2018
      • Assets in custody · $618M to $532M
        Oct 23, 2017 to Mar 29, 2018
      • Employees · 16 to 15
        Oct 23, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.0B to $965M
        Oct 23, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · $705M to $628M
        Oct 23, 2017 to Mar 29, 2018
      • RAUM · $1.0B to $965M
        Oct 23, 2017 to Mar 29, 2018
      • Accounts · 12 to 18
        Mar 29, 2017 to Oct 23, 2017
      • Advisory employees · 5 to 6
        Mar 29, 2017 to Oct 23, 2017
      • Corporate clients · unset to 1.0
        Mar 29, 2017 to Oct 23, 2017
      • Pooled vehicle clients · unset to 10.0
        Mar 29, 2017 to Oct 23, 2017
      • Assets in custody · unset to 617727194.0
        Mar 29, 2017 to Oct 23, 2017
      • Custody of client assets · false to true
        Mar 29, 2017 to Oct 23, 2017
      • Employees · 14 to 16
        Mar 29, 2017 to Oct 23, 2017
      • HQ city · BOCA RATON to NEW YORK
        Mar 29, 2017 to Oct 23, 2017
      • HQ state · FL to NY
        Mar 29, 2017 to Oct 23, 2017
      • Other offices · unset to 1.0
        Mar 29, 2017 to Oct 23, 2017
      • Private funds · 1 to 2
        Mar 29, 2017 to Oct 23, 2017
      • Discretionary RAUM · $625M to $1.0B
        Mar 29, 2017 to Oct 23, 2017
      • Pooled vehicle RAUM · unset to 704956224.0
        Mar 29, 2017 to Oct 23, 2017
      • RAUM · $625M to $1.0B
        Mar 29, 2017 to Oct 23, 2017
      • Accounts · 18 to 12
        Feb 27, 2017 to Mar 29, 2017
      • Advisory activities · 3 to 2
        Feb 27, 2017 to Mar 29, 2017
      • Assets in custody · 610930615.0 to unset
        Feb 27, 2017 to Mar 29, 2017
      • Custody of client assets · true to false
        Feb 27, 2017 to Mar 29, 2017
      • Discretionary RAUM · $611M to $625M
        Feb 27, 2017 to Mar 29, 2017
      • RAUM · $611M to $625M
        Feb 27, 2017 to Mar 29, 2017
      • Advisory employees · 6 to 5
        Mar 29, 2016 to Dec 23, 2016
      • Employees · 16 to 14
        Mar 29, 2016 to Dec 23, 2016
      • HQ city · NEW YORK to BOCA RATON
        Mar 29, 2016 to Dec 23, 2016
      • HQ state · NY to FL
        Mar 29, 2016 to Dec 23, 2016
      • Advisory activities · 4 to 3
        Mar 27, 2015 to Mar 29, 2016
      • Assets in custody · $1.2B to $611M
        Mar 27, 2015 to Mar 29, 2016
      Signals
      1 dated events
      • S•••••• A•••• M••••••••• C•••• reported RAUM $491.2M, down 49% from $965.2M (2018-03-29 to 2019-03-29)
        Mar 29, 2019 · 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.
      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