DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

D••••• C•••••• I••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 138447SEC 801-65757IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$53.1M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$55.6M gross assets
History
10 filings and snapshots on the tape
RAUM$53.1M as of Mar 30, 2016
Mar 30, 2012$179M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20130 then
Employees (5.A)5 as of Mar 30, 2016
Mar 28, 201310 then
Private funds6 as of Mar 30, 2016
Mar 30, 20125 then
RAUM -8.8% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$8.9MderivedRAUM 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
-8.8%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 pooled vehiclesreportedItem 5.G
Custody
$53.1M, 6 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$53.1M for 6 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••••• C•••••• M••••••••• I• L••Hedge Fund$25.8M55Mar 30, 2012
      D••••• C•••••• M••••••••• L••Hedge Fund$11.7M30Mar 30, 2012
      D••••• C•••••• I••••••••• L••••••Hedge Fund$10.8M25Mar 30, 2012
      D••••• H•••••••• L••no longer reportedHedge Fund$6.6M2Mar 30, 2012
      D••••• C•••••• T•• Q• L••••••Hedge Fund$4.8M17Mar 30, 2012
      D••••• A••••• F•••• L••Hedge Fund$2.5M1Mar 28, 2013
      D••••• A••••• I••••••••• L••••••Hedge Fund$00Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • M••••• E••••• · Chief Investment Officercontrol
        since 01/2010 · owns 25% to 50%
      • M••••• R•••••••• S•••• · Chief Executive Officercontrol
        since 01/2010 · owns 50% to 75%
      • S•••••••• A•••••• H•••••••• · Chief Compliance Officercontrol
        since 02/2014 · owns less than 5%
      • W••••••• L•••••••• E• · Director Of Research And General Counselcontrol
        since 07/2009 · owns less than 5%
      Related persons
      Schedule D 7.A
      • D••••• C•••••• A•••••••• L••
        pooled vehicle sponsorn
      • D••••• C•••••• I••••••••• A•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $58.2M to $53.1M
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $58.2M to $53.1M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $58.2M to $53.1M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 5 to 3
        Sep 18, 2014 to Mar 31, 2015
      • Assets in custody · $74.7M to $58.2M
        Sep 18, 2014 to Mar 31, 2015
      • Employees · 7 to 5
        Sep 18, 2014 to Mar 31, 2015
      • Discretionary RAUM · $74.7M to $58.2M
        Sep 18, 2014 to Mar 31, 2015
      • RAUM · $74.7M to $58.2M
        Sep 18, 2014 to Mar 31, 2015
      • Advisory employees · 4 to 5
        Feb 27, 2014 to Mar 31, 2014
      • Assets in custody · $106M to $74.7M
        Feb 27, 2014 to Mar 31, 2014
      • Employees · 10 to 7
        Feb 27, 2014 to Mar 31, 2014
      • Discretionary RAUM · $106M to $74.7M
        Feb 27, 2014 to Mar 31, 2014
      • RAUM · $106M to $74.7M
        Feb 27, 2014 to Mar 31, 2014
      • Accounts · 5 to 6
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 4.0
        Mar 30, 2012 to Mar 28, 2013
      • Assets in custody · $179M to $106M
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 10.0
        Mar 30, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Mar 28, 2013
      • Private funds · 5 to 6
        Mar 30, 2012 to Mar 28, 2013
      • Discretionary RAUM · $179M to $106M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $179M to $106M
        Mar 30, 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