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

R••••••••• C•••••• A•••• M••••••••• L•

Former SEC-registered adviserR•••••••••, ConnecticutCRD 138055SEC 801-65065IAPD
Latest filing Jun 15, 2017
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$105M
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
8
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$99.4M gross assets
History
12 filings and snapshots on the tape
RAUM$105M as of Mar 30, 2017
Mar 30, 2012$287M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 27, 20130 then
Employees (5.A)8 as of Mar 30, 2017
Mar 27, 201313 then
Private funds4 as of Mar 30, 2017
Mar 30, 20125 then
RAUM -34% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 15, 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
$17.5MderivedRAUM 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
-34%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$12.5M, 5 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)
  • 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)
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$12.5M for 5 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• I••••••••• F•••• L•••no longer reportedHedge Fund$20.6M9Mar 30, 2012
      N••••••• M••••• F••• L••Hedge Fund$19.9M8Mar 30, 2012
      T•••••• M••••• F••• L••Hedge Fund$3.5M27Mar 30, 2012
      T•••••• O••••••• P••••••• I• L••Hedge Fund$2.5M12Mar 30, 2012
      T•••••• P••••••• I• L••Hedge Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• R•••••• A••••• · Managing Partnercontrol
        since 08/2004 · owns less than 5%
      • G•••••••• J••••• F•••••• · Partner/Chief Financial Officercontrol
        since 12/2004 · owns less than 5%
      • T•••••• T•••••• O••• · Chief Operating Officercontrol
        since 08/2005 · owns less than 5%
      • W••••• L•••••••• S• · Chief Compliance Officercontrol
        since 07/2009 · owns less than 5%
      • E••••• R•••••• A••••• · Managing Membercontrol
        since 08/2004 · owns 75% or more of R••••••••• C•••••• G•••• G•• L••
      Entity owners
      • R••••••••• C•••••• G•••• G•• L•• · General Partner
        direct · owns 75% or more
      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 · 7 to 6
        Jun 3, 2016 to Mar 30, 2017
      • Assets in custody · $18.5M to $12.5M
        Jun 3, 2016 to Mar 30, 2017
      • Discretionary RAUM · $159M to $105M
        Jun 3, 2016 to Mar 30, 2017
      • RAUM · $159M to $105M
        Jun 3, 2016 to Mar 30, 2017
      • Assets in custody · $16.2M to $18.5M
        May 26, 2015 to Mar 29, 2016
      • Discretionary RAUM · $166M to $159M
        May 26, 2015 to Mar 29, 2016
      • RAUM · $166M to $159M
        May 26, 2015 to Mar 29, 2016
      • Accounts · 5 to 7
        Jun 9, 2014 to Mar 30, 2015
      • Advisory employees · 4 to 3
        Jun 9, 2014 to Mar 30, 2015
      • Assets in custody · $165M to $16.2M
        Jun 9, 2014 to Mar 30, 2015
      • Employees · 9 to 8
        Jun 9, 2014 to Mar 30, 2015
      • Discretionary RAUM · $182M to $166M
        Jun 9, 2014 to Mar 30, 2015
      • RAUM · $182M to $166M
        Jun 9, 2014 to Mar 30, 2015
      • Accounts · 6 to 5
        May 9, 2013 to Mar 31, 2014
      • Advisory employees · 8 to 4
        May 9, 2013 to Mar 31, 2014
      • Assets in custody · $189M to $165M
        May 9, 2013 to Mar 31, 2014
      • Employees · 13 to 9
        May 9, 2013 to Mar 31, 2014
      • Private funds · 5 to 4
        May 9, 2013 to Mar 31, 2014
      • Discretionary RAUM · $214M to $182M
        May 9, 2013 to Mar 31, 2014
      • RAUM · $214M to $182M
        May 9, 2013 to Mar 31, 2014
      • Accounts · 12 to 6
        Jul 9, 2012 to Mar 27, 2013
      • Advisory employees · unset to 8.0
        Jul 9, 2012 to Mar 27, 2013
      • Assets in custody · $228M to $189M
        Jul 9, 2012 to Mar 27, 2013
      • Employees · unset to 13.0
        Jul 9, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Jul 9, 2012 to Mar 27, 2013
      • Organization form · Other (specify) to Limited Partnership
        Jul 9, 2012 to Mar 27, 2013
      • Discretionary RAUM · $287M to $214M
        Jul 9, 2012 to Mar 27, 2013
      • RAUM · $287M to $214M
        Jul 9, 2012 to Mar 27, 2013
      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