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.
Former SEC-registered adviser
Equinox Institutional Asset Management, LP
Latest filing Mar 27, 2020
First filing on the tape Mar 29, 2012 · 33 filings
RAUM
$90.0M
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
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$90.0M as of Mar 27, 2020
Mar 29, 2012$386M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Apr 3, 20130 then
Employees (5.A)7 as of Mar 27, 2020
Apr 3, 20138 then
Private funds: no history
RAUM -90% over the last fiscal year-63% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2020; 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
- $90.0MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -90%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 investment companiesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$90.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- Nicholas J Rubino to Td Ameritrade, Inc.Dec 31, 2018 · Other
- Filippo Maiello to Santander SecuritiesDec 31, 2018 · Other
- John Baranauskas to Sweetgum Laboratories LLCDec 31, 2018 · Other
Joined, latest
- John Baranauskas from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 28, 2018 · Other
- Nicholas J Rubino from Commonwealth Financial NetworkSep 11, 2017 · Other
- Filippo Maiello from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 21, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Raghunath Ajay Dravid · Chief Investment Officercontrolsince 11/2014 · owns less than 5%
- Joseph Robert Enck · President/Ceo & Chief Compliance Officercontrolsince 11/2014 · owns less than 5%
- Marie Laura Latella · Chief Administrative Officercontrolsince 04/2016 · owns less than 5%
- Grady Rufus Rankin · Director Of Researchcontrolsince 11/2014 · owns less than 5%
- Caroline Monoghan Pallat · General Partnercontrolsince 08/2003 · owns 75% or more of Scan Partners, Ltd
Entity owners
- Equinox Financial Group, LLC · General Partner, Ownerdirect · owns 75% or more
- Scan Partners Ltd. · Memberindirect · owns 75% or more of Equinox Financial Group, LLC
Related persons
Schedule D 7.A
- Equinox Group Distributors, LLCbroker-dealery
- Equinox Institutional Asset Managementbanky
Advisers that list Equinox Institutional Asset Management, LP as a related person
- 143730 n
Offices
Schedule D 1.F, the 25 largest
- Philadelphia, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 1Mar 4, 2020 to Mar 27, 2020
- Advisory employees · 4 to 3Mar 4, 2020 to Mar 27, 2020
- BD registered reps · 5 to 2Mar 4, 2020 to Mar 27, 2020
- Employees · 12 to 7Mar 4, 2020 to Mar 27, 2020
- Discretionary RAUM · $901M to $90.0MMar 4, 2020 to Mar 27, 2020
- RAUM · $901M to $90.0MMar 4, 2020 to Mar 27, 2020
- Accounts · 9 to 6Aug 1, 2018 to Jan 29, 2019
- Advisory employees · 6 to 4Aug 1, 2018 to Jan 29, 2019
- BD registered reps · 4 to 5Aug 1, 2018 to Jan 29, 2019
- Employees · 13 to 12Aug 1, 2018 to Jan 29, 2019
- Discretionary RAUM · $1.2B to $901MAug 1, 2018 to Jan 29, 2019
- RAUM · $1.2B to $901MAug 1, 2018 to Jan 29, 2019
- Related adviser · true to falseAug 1, 2018 to Jan 29, 2019
- Advisory employees · 5 to 6Aug 23, 2017 to Feb 21, 2018
- Advisory activities · 2 to 1Aug 23, 2017 to Feb 21, 2018
- BD registered reps · 3 to 4Aug 23, 2017 to Feb 21, 2018
- Employees · 12 to 13Aug 23, 2017 to Feb 21, 2018
- Other offices · unset to 1.0Aug 23, 2017 to Feb 21, 2018
- Discretionary RAUM · $1.7B to $1.2BAug 23, 2017 to Feb 21, 2018
- RAUM · $1.7B to $1.2BAug 23, 2017 to Feb 21, 2018
- Related adviser · false to trueMar 22, 2017 to Apr 6, 2017
- Employees · 5 to 12Nov 18, 2016 to Mar 22, 2017
- Discretionary RAUM · $1.9B to $1.7BNov 18, 2016 to Mar 22, 2017
- RAUM · $1.9B to $1.7BNov 18, 2016 to Mar 22, 2017
- Related adviser · true to falseNov 18, 2016 to Mar 22, 2017
- Accounts · 8 to 9Mar 30, 2016 to May 31, 2016
- Advisory employees · 4 to 5Feb 22, 2016 to Mar 30, 2016
- Accounts · 7 to 8Sep 23, 2015 to Nov 16, 2015
- Advisory employees · 0 to 4Sep 23, 2015 to Nov 16, 2015
- Advisory activities · 3 to 2Sep 23, 2015 to Nov 16, 2015
- BD registered reps · 1 to 3Sep 23, 2015 to Nov 16, 2015
- Employees · 3 to 5Sep 23, 2015 to Nov 16, 2015
- Discretionary RAUM · $0 to $1.9BSep 23, 2015 to Nov 16, 2015
- Non-discretionary RAUM · $1.3B to $0Sep 23, 2015 to Nov 16, 2015
- RAUM · $1.3B to $1.9BSep 23, 2015 to Nov 16, 2015
- Accounts · 1 to 7Mar 31, 2015 to Sep 21, 2015
- Employees · 4 to 3Mar 31, 2015 to Sep 21, 2015
- Non-discretionary RAUM · $7.2M to $1.3BMar 31, 2015 to Sep 21, 2015
- RAUM · $7.2M to $1.3BMar 31, 2015 to Sep 21, 2015
- Advisory activities · 4 to 3Dec 12, 2014 to Mar 27, 2015
Signals
3 dated events
- Equinox Institutional Asset Management, Lp reported RAUM $90.0M, down 90% from $901.3M (2020-03-04 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Mark Peter Campana (Chief Compliance Officer And Legal Counsel) no longer on Schedule A of Equinox Institutional Asset Management, Lp (listed 2019-01-29, absent 2020-03-04)Mar 4, 2020 · Control person left · inference
- Equinox Institutional Asset Management, Lp reported RAUM $1.2B, down 31% from $1.7B (2017-08-23 to 2018-02-21)Feb 21, 2018 · 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