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

E••••••• A•••• M••••••••• J••••• L••••••

Former SEC-registered adviserSt Helier, CRD 138466SEC 801-65247IAPD
Latest filing Mar 26, 2013
First filing on the tape May 21, 2012 · 2 filings
RAUM
$605M
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
10
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$136M gross assets
History
2 filings and snapshots on the tape
RAUM$605M as of Mar 26, 2013
May 21, 2012$556M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 10
Private funds1 as of Mar 26, 2013
May 21, 201211 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 2013; 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
$31.8MderivedRAUM 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, selection of other advisers, otherreportedItem 5.G
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)
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
19reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••• H••••••• F•••• L•••Hedge Fund$136M2May 21, 2012
      E••••••• M•••• M••••• F•••• L••••••Liquidity Fund$111M78May 21, 2012
      E••••••• A••••Hedge Fund$61.9M1May 21, 2012
      L••••• S•••••••• 3•••Hedge Fund$55.4M1May 21, 2012
      E••••••• A•••• S•••••••• F••• L••••••Hedge Fund$45.8M286May 21, 2012
      E••••••• G••••• L••• S•••• F•••Hedge Fund$31.8M4May 21, 2012
      E••••••• D••••••••• A•• E•••• F•••Hedge Fund$28.6M25May 21, 2012
      Q•••••• L• B••• A••••••••• S••••••••• P••••••••Hedge Fund$26.7M1May 21, 2012
      E••••••• G••••• M•••• S••••••• F•••Hedge Fund$22.5M7May 21, 2012
      E••••••• E••••••• A••••••• F•••Hedge Fund$21.1M185May 21, 2012
      E••••••• G••••• D•••••• T•••••• F••• L••Other Private Fund$15.5M14May 21, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••• A••• · Executive Directorcontrol
        since 07/2011 · owns less than 5%
      • C••••• I••• C••••••••• · Executive Directorcontrol
        since 09/2004 · owns less than 5%
      • H••••• A••••••••• J••• · Executive Directorcontrol
        since 01/2013 · owns less than 5%
      • M••••••••• D••••• P••• · Chief Compliance Officercontrol
        since 04/2012 · owns less than 5%
      • W•••••• J•••••••• D•••••• · Executive Directorcontrol
        since 11/2004 · owns less than 5%
      Entity owners
      • E••••••• J••••• L•••••• · Shareholder
        direct · owns 75% or more
      • E••••••• L•••••• · Shareholder
        indirect · owns 75% or more of E••••••• J••••• L••••••
      • U•• S• · Shareholder
        indirect · owns 75% or more of E••••••• L••••••
      Related persons
      Schedule D 7.A
      • E••••••• G••••• W••••• M••••••••• J••••• L••••••
        investment adviserpooled vehicle sponsorn
      • U•••• B••••••• P••••• A•••• M••••••••• •••••••• L••••••
        investment advisern
      • U•• A•••• M••••••••• L••
        investment adviserbanknRAUM $231M
      Advisers that list E••••••• A•••• M••••••••• J••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 19
        May 21, 2012 to Mar 26, 2013
      • Advisory employees · unset to 0.0
        May 21, 2012 to Mar 26, 2013
      • Employees · unset to 10.0
        May 21, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        May 21, 2012 to Mar 26, 2013
      • Private funds · 11 to 1
        May 21, 2012 to Mar 26, 2013
      • Discretionary RAUM · $556M to $605M
        May 21, 2012 to Mar 26, 2013
      • RAUM · $556M to $605M
        May 21, 2012 to Mar 26, 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