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

T•••• A•••• M••••••••• L••

Former SEC-registered adviserFt. Lauderdale, FloridaCRD 138563SEC 801-74171IAPD
Latest filing Nov 24, 2014
First filing on the tape Feb 14, 2012 · 6 filings
RAUM
$5.3B
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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$4.8B gross assets
History
6 filings and snapshots on the tape
RAUM$5.3B as of Mar 31, 2014
Mar 28, 2013$6.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 28, 20130 then
Employees (5.A)5 as of Mar 31, 2014
Mar 28, 20134 then
Private funds6 as of Mar 31, 2014
Mar 28, 20136 then
RAUM -17% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 24, 2014; 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
$1.3BderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-17%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
$2.5B, 4 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)
  • 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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.5B for 4 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••• F•••no longer reportedHedge Fund$53.3M23Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• H••••••• E•••• · Chief Compliance Officercontrol
        since 09/2011 · owns less than 5%
      • S••••••• S•••••• D••••• · Partnercontrol
        since 01/2001 · owns 75% or more
      • Y••••• J••••••• R•••• · Chief Financial Officercontrol
        since 12/2011 · owns less than 5%
      • S••••••• S•••••• D••••• · President; Shareholdercontrol
        since 01/2001 · owns 75% or more of C•••••• A•••• M••••••••• I•••
      Entity owners
      • C•••••• A•••• M••••••••• I••• · Managing Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • St. Thomas, VI
      What changed
      consecutive filings, newest first
      • HQ city · PORTLAND to FT. LAUDERDALE
        Mar 31, 2014 to Nov 24, 2014
      • HQ state · ME to FL
        Mar 31, 2014 to Nov 24, 2014
      • Organization form · Limited Liability Partnership to Limited Partnership
        Mar 31, 2014 to Nov 24, 2014
      • Succession · false to true
        Mar 31, 2014 to Nov 24, 2014
      • Accounts · 6 to 4
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $2.1B to $2.5B
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 4 to 5
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $6.4B to $5.3B
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $6.4B to $5.3B
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $4.2B to $2.1B
        Feb 25, 2013 to Mar 28, 2013
      • Discretionary RAUM · $4.2B to $6.4B
        Feb 25, 2013 to Mar 28, 2013
      • RAUM · $4.2B to $6.4B
        Feb 25, 2013 to Mar 28, 2013
      • Advisory employees · unset to 1.0
        Mar 26, 2012 to Feb 25, 2013
      • BD registered reps · unset to 0.0
        Mar 26, 2012 to Feb 25, 2013
      • Employees · unset to 4.0
        Mar 26, 2012 to Feb 25, 2013
      • State-registered IARs · unset to 0.0
        Mar 26, 2012 to Feb 25, 2013
      Signals
      1 dated events
      • T•••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Nov 24, 2014 · Succession (Item 4) · fact
      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