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

U•• A••••••• L••••••

Former SEC-registered adviserHamilton, CRD 137855SEC 801-64967IAPD
Latest filing Mar 15, 2012
First filing on the tape Dec 9, 2011 · 2 filings
RAUM
$542M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$542M as of Mar 15, 2012
Dec 9, 2011$557M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2012
Dec 9, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 15, 2012; 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
$38.7MderivedRAUM 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
unknownderivedbetween 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 individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$89.5M, 8 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
  • 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)
  • 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
14reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$89.5M for 8 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
      U•• C••••• O••••••••• M••••• F••• L•••Hedge Fund$126M1Mar 22, 2012
      U•• D••• M••••• A•••••• L•••Hedge Fund$99.1M1Mar 22, 2012
      U•• R••••• A••••••••• M••••• A•••••• L•••Hedge Fund$28.3M32Mar 22, 2012
      U•• R••••• D••• M••••• A•••••• L•••Hedge Fund$5.9M12Mar 22, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• F••••••• W••••••• · Ceocontrol
        since 12/2002 · owns less than 5%
      • F••••••• R••••••• · Directorcontrol
        since 02/2001 · owns less than 5%
      • P••••••••• Y•••••••• · Directorcontrol
        since 08/2005 · owns less than 5%
      • R•••• C••••••• E••••• · Ownercontrol
        since 12/2010 · owns 25% to 50%
      • F•••••••• O•••• F•••••••• · Ownercontrol
        since 11/2008 · owns F of G••••• I••••••••• L•••
      • F•••••• F••••••• W••••••• · Ownercontrol
        since 12/2010 · owns 75% or more of P••••••• G•••
      • A••••••• B•••• · Chief Compliance Officer
        since 05/2003 · owns less than 5%
      Entity owners
      • G••••• I••••••••• L••• · Owner
        direct · owns 10% to 25%
      • P••••••• G••• · Owner
        direct · owns 25% to 50%
      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
      • Assets in custody · $91.0M to $89.5M
        Dec 9, 2011 to Mar 15, 2012
      • Discretionary RAUM · $557M to $542M
        Dec 9, 2011 to Mar 15, 2012
      • RAUM · $557M to $542M
        Dec 9, 2011 to Mar 15, 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