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•••• L••••••

Former SEC-registered adviserZurich, CRD 138025SEC 801-64951IAPD
Latest filing Apr 13, 2018
First filing on the tape Apr 2, 2012 · 14 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$0 as of Apr 13, 2018
Apr 2, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 13, 2018
Apr 17, 20130 then
Employees (5.A)0 as of Apr 13, 2018
Apr 17, 201327 then
Private funds15 as of Apr 13, 2018
Apr 2, 20129 then
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 13, 2018; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-100%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      20 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•••• C••••• I• L•••no longer reportedPrivate Equity Fund$64.9M2Apr 26, 2013
      E••• C••••• I• ••••••• L•no longer reportedPrivate Equity Fund$56.1M17Apr 2, 2012
      E••• C••••• L•no longer reportedPrivate Equity Fund$45.8M31Apr 2, 2012
      E••• C••••• I• ••••••••• L•no longer reportedPrivate Equity Fund$43.8M8Apr 2, 2012
      N•• ••••••••• L•no longer reportedPrivate Equity Fund$9.2M2Apr 2, 2012
      S•••••• C••••• L•••Private Equity Fund$06Mar 30, 2016
      W•••• C••••• L•Private Equity Fund$05Apr 2, 2012
      A•••••••• S•• S•••• R•••Private Equity Fund$01Apr 13, 2018
      E••• C••••• S•••••••• I• L•••Private Equity Fund$048Mar 23, 2017
      I••• C••••• L•••Private Equity Fund$06Mar 30, 2016
      E••• C••••• I• L•Private Equity Fund$052Apr 2, 2012
      I•••••• L•••Private Equity Fund$06Apr 2, 2012
      E••• C••••• I•• F•••Private Equity Fund$040Apr 2, 2012
      E••• C••••• D••••• L•••Private Equity Fund$026Mar 30, 2016
      E••• C••••• I•• L•Private Equity Fund$053Apr 2, 2012
      E••• C••••• V• L•••Private Equity Fund$055Mar 30, 2016
      C•• C••••• L•••Private Equity Fund$06Mar 30, 2016
      E••• C••••• S•••••••• L•Private Equity Fund$039Mar 31, 2015
      E••• C••••• V• L•••Private Equity Fund$040Apr 26, 2013
      E••• C••••• V•• S••Private Equity Fund$012Apr 13, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• C••••••••• · Chief Executive Officer/Board Member/Chief Compliance Officercontrol
        since 09/2005 · owns less than 5%
      • B•••••• N•••• · Chief Financial Officercontrol
        since 06/2012 · owns less than 5%
      • F•••• T••••• · Managing D•••••Or, Board Membercontrol
        since 09/2005 · owns less than 5%
      • M•••••• R••••• F•••••• · Member Of The Boardcontrol
        since 02/2017 · owns less than 5%
      • Z•••• M••• · Managing D•••••Or, Board Membercontrol
        since 09/2005 · owns less than 5%
      • F••••• P••••••• N•• · D•••••Orcontrol
        since 07/2011 · owns F of F•••• F•••••••••
      • S••••••• B••••••• J••• · D•••••Orcontrol
        since 07/2011 · owns F of F•••• F•••••••••
      Entity owners
      • U••••••••• H•••••• S• · Shareholder
        direct · owns 25% to 50%
      • F•••• F••••••••• · Shareholder
        indirect · owns 75% or more of F•••• I••••••••• S•••••••
      • F•••• I••••••••• S••••••• · Shareholder
        indirect · owns 25% to 50% of U••••••••• H•••••• S•
      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
      • Accounts · 14 to 0
        Apr 4, 2018 to Apr 13, 2018
      • Advisory employees · 19 to 0
        Apr 4, 2018 to Apr 13, 2018
      • Pooled vehicle clients · 14 to 0
        Apr 4, 2018 to Apr 13, 2018
      • Assets in custody · 2206197881.0 to unset
        Apr 4, 2018 to Apr 13, 2018
      • Custody of client assets · true to false
        Apr 4, 2018 to Apr 13, 2018
      • Employees · 25 to 0
        Apr 4, 2018 to Apr 13, 2018
      • Private funds · 13 to 15
        Apr 4, 2018 to Apr 13, 2018
      • Discretionary RAUM · $2.2B to $0
        Apr 4, 2018 to Apr 13, 2018
      • Pooled vehicle RAUM · 2206197881.0 to unset
        Apr 4, 2018 to Apr 13, 2018
      • RAUM · $2.2B to $0
        Apr 4, 2018 to Apr 13, 2018
      • Related adviser · true to false
        Apr 4, 2018 to Apr 13, 2018
      • Charity clients · unset to 0.0
        May 16, 2017 to Apr 4, 2018
      • Corporate clients · unset to 0.0
        May 16, 2017 to Apr 4, 2018
      • HNW clients · unset to 0.0
        May 16, 2017 to Apr 4, 2018
      • Individual clients · unset to 0.0
        May 16, 2017 to Apr 4, 2018
      • Pension plan clients · unset to 0.0
        May 16, 2017 to Apr 4, 2018
      • Pooled vehicle clients · unset to 14.0
        May 16, 2017 to Apr 4, 2018
      • Other offices · unset to 0.0
        May 16, 2017 to Apr 4, 2018
      • Pooled vehicle RAUM · unset to 2206197881.0
        May 16, 2017 to Apr 4, 2018
      • Accounts · 15 to 14
        Mar 30, 2016 to Mar 23, 2017
      • Advisory employees · 16 to 19
        Mar 30, 2016 to Mar 23, 2017
      • Assets in custody · $2.2B to $2.2B
        Mar 30, 2016 to Mar 23, 2017
      • Employees · 20 to 25
        Mar 30, 2016 to Mar 23, 2017
      • Private funds · 15 to 13
        Mar 30, 2016 to Mar 23, 2017
      • Discretionary RAUM · $2.2B to $2.2B
        Mar 30, 2016 to Mar 23, 2017
      • RAUM · $2.2B to $2.2B
        Mar 30, 2016 to Mar 23, 2017
      • Related adviser · false to true
        Mar 30, 2016 to Mar 23, 2017
      • Accounts · 11 to 15
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 14 to 16
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $1.5B to $2.2B
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 27 to 20
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 11 to 15
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.5B to $2.2B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.5B to $2.2B
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 13 to 14
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $2.2B to $1.5B
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 22 to 27
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $2.2B to $1.5B
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $2.2B to $1.5B
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 17 to 13
        Apr 26, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • A•••• L•••••• reported RAUM $0, down 100% from $2.2B (2018-04-04 to 2018-04-13)
        Apr 13, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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