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••• N•••• P••••••• L••

Former SEC-registered adviserSuffern, New YorkCRD 138681SEC 801-70431IAPD
Latest filing Feb 10, 2017
First filing on the tape Feb 16, 2012 · 9 filings
RAUM
$1.2B
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.2B as of Feb 10, 2017
Feb 16, 2012$97.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 10, 2017
Feb 16, 20120 then
Employees (5.A)4 as of Feb 10, 2017
Jan 22, 20137 then
Private funds1 as of Feb 11, 2015
Jan 22, 20132 then
RAUM +89% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 10, 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
$239MderivedRAUM 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
+89%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••••• S•••••• O••••••••• F••• L•no longer reportedHedge Fund$646M35Jul 27, 2012
      T•• S••••• M••••• F•••• L••no longer reportedHedge Fund$387M60Jul 27, 2012
      R••• G••••• A•••• A••••••••• M••••• F•••• L••no longer reportedHedge Fund$106M14Jan 22, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••••• D••••• F•••••• · Managing Membercontrol
        since 04/2013 · owns 75% or more
      • D•••••••• T••••••• A•• · Cfo / Ccocontrol
        since 05/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 5
        Mar 21, 2016 to Feb 10, 2017
      • Discretionary RAUM · $631M to $1.2B
        Mar 21, 2016 to Feb 10, 2017
      • RAUM · $631M to $1.2B
        Mar 21, 2016 to Feb 10, 2017
      • Advisory activities · 1 to 2
        Feb 11, 2015 to Mar 21, 2016
      • Financial planning clients · 0 to unset
        Feb 11, 2015 to Mar 21, 2016
      • Private funds · 1 to unset
        Feb 11, 2015 to Mar 21, 2016
      • Discretionary RAUM · $696M to $631M
        Feb 11, 2015 to Mar 21, 2016
      • RAUM · $696M to $631M
        Feb 11, 2015 to Mar 21, 2016
      • Discretionary RAUM · $622M to $696M
        Jan 29, 2014 to Feb 11, 2015
      • RAUM · $622M to $696M
        Jan 29, 2014 to Feb 11, 2015
      • Discretionary RAUM · $1.4B to $622M
        Jun 28, 2013 to Jan 29, 2014
      • RAUM · $1.4B to $622M
        Jun 28, 2013 to Jan 29, 2014
      • Accounts · 4 to 1
        Jan 22, 2013 to Jun 28, 2013
      • Advisory employees · 4 to 3
        Jan 22, 2013 to Jun 28, 2013
      • Advisory activities · 3 to 1
        Jan 22, 2013 to Jun 28, 2013
      • BD registered reps · 1 to 0
        Jan 22, 2013 to Jun 28, 2013
      • Assets in custody · $387M to $0
        Jan 22, 2013 to Jun 28, 2013
      • Custody of client assets · true to false
        Jan 22, 2013 to Jun 28, 2013
      • Employees · 7 to 4
        Jan 22, 2013 to Jun 28, 2013
      • Private funds · 2 to 1
        Jan 22, 2013 to Jun 28, 2013
      • Discretionary RAUM · $1.3B to $1.4B
        Jan 22, 2013 to Jun 28, 2013
      • RAUM · $1.3B to $1.4B
        Jan 22, 2013 to Jun 28, 2013
      • Related broker-dealer · true to false
        Jan 22, 2013 to Jun 28, 2013
      • Accounts · 3 to 4
        Jul 27, 2012 to Jan 22, 2013
      • Advisory employees · unset to 4.0
        Jul 27, 2012 to Jan 22, 2013
      • BD registered reps · unset to 1.0
        Jul 27, 2012 to Jan 22, 2013
      • Assets in custody · $1.1B to $387M
        Jul 27, 2012 to Jan 22, 2013
      • Employees · unset to 7.0
        Jul 27, 2012 to Jan 22, 2013
      • Discretionary RAUM · $2.7B to $1.3B
        Jul 27, 2012 to Jan 22, 2013
      • RAUM · $2.7B to $1.3B
        Jul 27, 2012 to Jan 22, 2013
      • Assets in custody · $55.9M to $1.1B
        Mar 30, 2012 to Jul 27, 2012
      • Private funds · unset to 2
        Mar 30, 2012 to Jul 27, 2012
      • Discretionary RAUM · $130M to $2.7B
        Mar 30, 2012 to Jul 27, 2012
      • RAUM · $130M to $2.7B
        Mar 30, 2012 to Jul 27, 2012
      • Assets in custody · $51.7M to $55.9M
        Feb 16, 2012 to Mar 30, 2012
      • Discretionary RAUM · $97.2M to $130M
        Feb 16, 2012 to Mar 30, 2012
      • RAUM · $97.2M to $130M
        Feb 16, 2012 to Mar 30, 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