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

P••••••• A•••• M••••••••• L•

Former SEC-registered adviserPleasantville, New YorkCRD 138309SEC 801-65521IAPD
Latest filing Aug 8, 2017
First filing on the tape Apr 3, 2012 · 10 filings
RAUM
$81.7M
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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$81.7M as of Mar 23, 2017
Apr 3, 2012$310M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2017
Apr 3, 20130 then
Employees (5.A)1 as of Mar 23, 2017
Apr 3, 20139 then
Private funds2 as of Apr 3, 2013
Apr 3, 20122 then
RAUM +909% over the last fiscal year+82% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 8, 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
$81.7MderivedRAUM 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
+909%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
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
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
0reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• A•••••••• M••••• F•••• L•••no longer reportedHedge Fund$91.5M31Apr 3, 2012
      P••••••• C••••••• M••••• F•••• L•••no longer reportedHedge Fund$00Apr 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• O•••• M•••• · Limited Partner, Ccocontrol
        since 07/2004 · owns 75% or more
      • B••••••• A••• · Trustee Of C•••• F••••• S•••• T••••
        since 07/2004 · owns less than 5%
      Entity owners
      • P••••••• I••••••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      • C•••••••• M••••••••• L•• · Limited Partner
        direct · owns 10% to 25%
      • C•••• F••••• S•••• T•••• · Limited Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $8.1M to $81.7M
        Mar 14, 2016 to Mar 23, 2017
      • RAUM · $8.1M to $81.7M
        Mar 14, 2016 to Mar 23, 2017
      • Accounts · 2 to 1
        Mar 25, 2015 to Mar 14, 2016
      • Discretionary RAUM · $22.0M to $8.1M
        Mar 25, 2015 to Mar 14, 2016
      • RAUM · $22.0M to $8.1M
        Mar 25, 2015 to Mar 14, 2016
      • Related adviser · false to true
        Mar 25, 2015 to Mar 14, 2016
      • Accounts · 1 to 2
        Mar 12, 2014 to Mar 25, 2015
      • Discretionary RAUM · $13.5M to $22.0M
        Mar 12, 2014 to Mar 25, 2015
      • RAUM · $13.5M to $22.0M
        Mar 12, 2014 to Mar 25, 2015
      • Discretionary RAUM · $10.4M to $13.5M
        Dec 9, 2013 to Mar 12, 2014
      • RAUM · $10.4M to $13.5M
        Dec 9, 2013 to Mar 12, 2014
      • Assets in custody · 91540989.0 to unset
        Aug 13, 2013 to Dec 9, 2013
      • Custody of client assets · true to false
        Aug 13, 2013 to Dec 9, 2013
      • HQ city · NEW YORK to PLEASANTVILLE
        Aug 13, 2013 to Dec 9, 2013
      • Organization form · Other (specify) to Limited Partnership
        Aug 13, 2013 to Dec 9, 2013
      • Discretionary RAUM · $11.2M to $10.4M
        Aug 13, 2013 to Dec 9, 2013
      • RAUM · $11.2M to $10.4M
        Aug 13, 2013 to Dec 9, 2013
      • Accounts · 5 to 1
        Apr 3, 2013 to Aug 13, 2013
      • Advisory employees · 6 to 1
        Apr 3, 2013 to Aug 13, 2013
      • Advisory activities · 2 to 1
        Apr 3, 2013 to Aug 13, 2013
      • Employees · 9 to 1
        Apr 3, 2013 to Aug 13, 2013
      • Private funds · 2 to unset
        Apr 3, 2013 to Aug 13, 2013
      • Discretionary RAUM · $137M to $11.2M
        Apr 3, 2013 to Aug 13, 2013
      • RAUM · $137M to $11.2M
        Apr 3, 2013 to Aug 13, 2013
      • Accounts · 10 to 5
        Mar 28, 2013 to Apr 3, 2013
      • Assets in custody · $186M to $91.5M
        Mar 28, 2013 to Apr 3, 2013
      • Discretionary RAUM · $310M to $137M
        Mar 28, 2013 to Apr 3, 2013
      • RAUM · $310M to $137M
        Mar 28, 2013 to Apr 3, 2013
      • Advisory employees · unset to 6.0
        Apr 3, 2012 to Mar 28, 2013
      • Employees · unset to 9.0
        Apr 3, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Apr 3, 2012 to Mar 28, 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