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
S•••• T•••• F••• M••••••••• L••
Legal name A••••• S• F••• M••••••••• L••
Latest filing Nov 27, 2012
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$11B
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
600
230 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$8.7B gross assets
History
5 filings and snapshots on the tape
RAUM$11B as of Nov 27, 2012
Mar 29, 2012$7.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 600
Private funds8 as of Nov 27, 2012
Mar 29, 20125 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 27, 2012; 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
- $469MderivedRAUM 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
- unknownderivedbetween 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 pooled vehicles, otherreportedItem 5.G
- Custody
- $11B, 24 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.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
- 24reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $11B for 24 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• T•••• C••••• M••••• F••• L••• | Hedge Fund | $4.1B | 74 | Mar 29, 2012 |
| S•••• T•••• C••••• F•••••• I• L•• | Securitized Asset Fund | $4.0B | 1 | May 2, 2012 |
| S•••• T•••• C••••• S••••••••• M••••• F••• L••• | Hedge Fund | $138M | 18 | Mar 29, 2012 |
| S•••• T•••• S••••••••• C••••• R••••••• M••••• F••• L••• | Hedge Fund | $127M | 36 | Mar 29, 2012 |
| S•••• T•••• C••••• S•••••••• M••••• F••• L••• | Hedge Fund | $110M | 18 | Mar 29, 2012 |
| S•••• T•••• L••• V•••• R••••••• F••• L• | Hedge Fund | $86.8M | 1 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• L•••• D•••• · Vice Presidentcontrolsince 04/2012 · owns less than 5%
- D•••••••• E•••••• E••••• · Vice Presidentcontrolsince 04/2012 · owns less than 5%
- G••••••••• B••••• J••• · Vice President And Chief Financial Officercontrolsince 04/2012 · owns less than 5%
- H•••••• J•••••• J••••• · Vice Presidentcontrolsince 04/2012 · owns less than 5%
- L•••••• M••••••• J•••••• · Membercontrolsince 08/2005 · owns less than 5%
- P••••••• J•••• F•••••• X••••• · Vice President And Chief O•••••••• Officercontrolsince 04/2012 · owns less than 5%
- R••••• M•••• J•••••• · Vice Presidentcontrolsince 04/2012 · owns less than 5%
- S•••••• J•••• J••••• · Vice President And Chief Compliance Officercontrolsince 04/2012 · owns less than 5%
- Z•••••• J••••• C•••••• · Presidentcontrolsince 04/2012 · owns less than 5%
- B••••• L•••• D•••• · Shareholdercontrolsince 08/2007 · owns 25% to 50% of B•• H••••••• G•• L•••
- B••••• L•••• D•••• · General Partnercontrolsince 08/2007 · owns F of B•••• F••••• P•••••••• L•••
- H•••••• J•••••• J••••• · General Partnercontrolsince 08/2007 · owns F of M•• P•••••••• L•••
- H•••••• J•••••• J••••• · Shareholdercontrolsince 08/2007 · owns 25% to 50% of B•• H••••••• G•• L•••
- R••••• M•••• J•••••• · Managing Membercontrolsince 08/2007 · owns F of M•• F••••••••• L••
- R••••• M•••• J•••••• · Shareholdercontrolsince 08/2007 · owns 25% to 50% of B•• H••••••• G•• L•••
Entity owners
- S•••• T•••• O•••••••• L• · Managing Memberdirect · owns 75% or more
- A•• H•••••••• L••• · L•••••• Partnerindirect · owns 75% or more of A••••• M••••••••• H•••••••• L•••
- A•• C•••• · L•••••• Partnerindirect · owns 25% to 50% of A••••• M••••••••• H•••••••• L•••
- A•• C•••• · Sole Memberindirect · owns F of A••••• M••••••••• H••••••• G•• L••
- A••••• C•••••• M••••••••• G•• L•• · General Partnerindirect · owns F of A••••• C•••••• M••••••••• L•••
- A••••• C•••••• M••••••••• L••• · Managing Memberindirect · owns 75% or more of St Management Holdings LLC
- A••••• G••••• M••••••••• L•• · Sole Shareholderindirect · owns 75% or more of A•• C•••• · public reporting company
- A••••• M••••••••• H••••••• G•• L•• · General Partnerindirect · owns F of A••••• M••••••••• H•••••••• L•••
- A••••• M••••••••• H•••••••• L••• · Sole Member-M••••••indirect · owns F of A••••• C•••••• M••••••••• G•• L••
- B•• H••••••• G•• L••• · General Partnerindirect · owns F of Brh Holdings, Ltd.
- B•• H••••••• G•• L••• · General Partnerindirect · owns F of A• P••••••••• H•••••••• L•••
- S•••• T•••• C•••••• L•• · General Partnerindirect · owns F of S•••• T•••• O•••••••• L•
- S•••• T•••• M••••••••• H••••••• L•• · L•••••• Partnerindirect · owns 75% or more of S•••• T•••• O•••••••• Partner, L.P.
- A• P••••••••• H•••••••• L••• · L•••••• Partnerindirect · owns 50% to 75% of A••••• M••••••••• H•••••••• L•••
- B•••• F••••• P•••••••• L••• · L•••••• Partnerindirect · owns 25% to 50% of Brh Holdings, L.P.
- M•• P•••••••• L••• · L•••••• Partnerindirect · owns 25% to 50% of Brh Holdings, L.P.
- M•• F••••••••• L•• · L•••••• Partnerindirect · owns 25% to 50% of Brh Holdings, L.P.
Related persons
Schedule D 7.A
- A••••• M••••••••• L••investment advisern
- A••• A••• P•••••• L••••• M••••••••• L••investment advisern
- A••• A••• P•••••• M••••••••• L••investment advisern
- A••• C••• M••••••••• I• L••investment advisern
- A••• C••• M••••••••• L••investment advisern
- A••• E••••• L••••• M••••••••• L••investment advisern
- A••• E••••• M••••••••• L••investment advisern
- A••• N• L••••• M••••••••• L••investment advisern
- A••• N• M••••••••• L••investment advisern
- A••••••• D••• M••••••• L••investment advisern
- A••••• L••••• M••••••••• L••investment advisern
- A•••••• L••••• M••••••••• L••investment advisern
- A••• C•••••• M••••••••• L••••••investment advisern
- A• A••••••••• A•••••• L•••investment advisern
- A••••• A•••••••• L•••pooled vehicle sponsorn
- A••••• A••• M••••••••• L•••investment advisern
- A••••• C•••••• M••••••••• L•••investment adviseryRAUM $718B
- A••••• C••••• S••••• M••••••••• L••investment advisern
- A••••• C••••••••• M••••••••• L•••investment advisernRAUM $2.8B
- A••••• C••••• L•••••••• M••••••••• L•••investment advisern
- A••••• C••••• M••••••••• ••••• L••investment advisern
- A••••• C••••• M••••••••• •••••• L•••••• L••investment advisern
- A••••• C••••• M••••••••• L••investment advisernRAUM $30B
- A••••• C••••• O••••••••• M••••••••• L••investment advisern
- A••••• E•• M••••••••• I•• L•••investment advisern
- A••••• E•• M••••••••• L•••investment advisern
- A••••• E••••• M••••••••• L•••investment advisern
- A••••• E••••••• C••••• M••••••••• L•••investment advisern
- A••••• E••••••• S•••••••• M••••••••• L•••investment advisern
- A••••• G••••• R••• E••••• M••••••••• L•••investment advisernRAUM $24B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · unset to 230.0Sep 12, 2012 to Nov 27, 2012
- BD registered reps · 0 to 63Sep 12, 2012 to Nov 27, 2012
- Employees · unset to 600.0Sep 12, 2012 to Nov 27, 2012
- State-registered IARs · unset to 0.0Sep 12, 2012 to Nov 27, 2012
- Related broker-dealer · false to trueSep 12, 2012 to Nov 27, 2012
- Legal name · S•••• T•••• F••• M••••••••• L•• to A••••• S• F••• M••••••••• L••Aug 17, 2012 to Sep 12, 2012
- Private funds · 7 to 8May 2, 2012 to Aug 17, 2012
- Accounts · 19 to 24Mar 29, 2012 to May 2, 2012
- Assets in custody · unset to 11249913344.0Mar 29, 2012 to May 2, 2012
- Custody of client assets · false to trueMar 29, 2012 to May 2, 2012
- Private funds · 5 to 7Mar 29, 2012 to May 2, 2012
- Discretionary RAUM · $7.8B to $11BMar 29, 2012 to May 2, 2012
- RAUM · $7.8B to $11BMar 29, 2012 to May 2, 2012
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