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
W•••• R•••• I••••••••• P•••••••• L••
Latest filing Mar 27, 2015
First filing on the tape Mar 19, 2012 · 7 filings
RAUM
$101M
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
1
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$139M gross assets
History
7 filings and snapshots on the tape
RAUM$101M as of Mar 27, 2015
Mar 19, 2012$167M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Mar 19, 20120 then
Employees (5.A)1 as of Mar 27, 2015
Apr 1, 20133 then
Private funds2 as of Mar 27, 2015
Mar 19, 20122 then
RAUM -35% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2015; 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
- $101MderivedRAUM 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
- -35%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $95.9M, 1 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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.9M for 1 clientsreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••• R•••• P•••••••• L••• | Hedge Fund | $101M | 31 | Mar 19, 2012 |
| P•••••• L• | Hedge Fund | $40.1M | 2 | Apr 1, 2013 |
| W•••• R•••• O••••••• F••• L••• | Hedge Fund | $38.8M | 21 | Mar 19, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• A••••• C•••• · Chief Compliance Officer/Chief Executive Officer/Portfolio Managercontrolsince 06/2000 · 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 · 3 to 1Mar 27, 2014 to Mar 27, 2015
- Advisory employees · 1 to 0Mar 27, 2014 to Mar 27, 2015
- Assets in custody · $120M to $95.9MMar 27, 2014 to Mar 27, 2015
- Employees · 2 to 1Mar 27, 2014 to Mar 27, 2015
- Private funds · 3 to 2Mar 27, 2014 to Mar 27, 2015
- Discretionary RAUM · $154M to $101MMar 27, 2014 to Mar 27, 2015
- RAUM · $154M to $101MMar 27, 2014 to Mar 27, 2015
- Accounts · 4 to 3Dec 16, 2013 to Mar 27, 2014
- Assets in custody · $126M to $120MDec 16, 2013 to Mar 27, 2014
- Employees · 3 to 2Dec 16, 2013 to Mar 27, 2014
- Discretionary RAUM · $184M to $154MDec 16, 2013 to Mar 27, 2014
- RAUM · $184M to $154MDec 16, 2013 to Mar 27, 2014
- Accounts · 3 to 4Mar 29, 2012 to Apr 1, 2013
- Advisory employees · unset to 1.0Mar 29, 2012 to Apr 1, 2013
- Assets in custody · $147M to $126MMar 29, 2012 to Apr 1, 2013
- Employees · unset to 3.0Mar 29, 2012 to Apr 1, 2013
- Private funds · 2 to 3Mar 29, 2012 to Apr 1, 2013
- Discretionary RAUM · $167M to $184MMar 29, 2012 to Apr 1, 2013
- RAUM · $167M to $184MMar 29, 2012 to Apr 1, 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