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

I••••• A•••• M••••••••• L••

Former SEC-registered adviserPalm Beach, FloridaCRD 138752SEC 801-65642IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$1.9B
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
20
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$1.9B gross assets
History
15 filings and snapshots on the tape
RAUM$1.9B as of Mar 31, 2022
Mar 30, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 30, 20120 then
Employees (5.A)20 as of Mar 31, 2022
Feb 25, 201336 then
Private funds3 as of Mar 31, 2022
Mar 30, 20128 then
RAUM +15% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$212MderivedRAUM 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
+15%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
yesreportedItem 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)
  • 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
  • Pooled investment vehicles$1.9B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      15 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••••• M••••• F••• L•••Hedge Fund$1.4B84Mar 30, 2012
      W•••••••• M••••• F••• L••Hedge Fund$236M20Feb 25, 2013
      I••••• S••••• M••••• F••• L•••no longer reportedHedge Fund$235M375Feb 25, 2013
      I••••• R••••••• M••••• F••• L•••Hedge Fund$233M35Nov 29, 2016
      I••••• B••••••• L•no longer reportedHedge Fund$202M3Mar 28, 2018
      S••••••• M••••• F••• L•••no longer reportedHedge Fund$141M29Mar 30, 2012
      I••••• C• F••• L•••no longer reportedHedge Fund$131M9Mar 30, 2012
      I••••• A•••• M••••• F••• L•••no longer reportedHedge Fund$92.8M3Mar 30, 2012
      I••••• G•••••• F••• L•Hedge Fund$87.7M3Mar 31, 2021
      I••••• P• M••••• F••• L•••no longer reportedHedge Fund$74.3M1Feb 27, 2014
      I••••• E••••••••• M••••• F••• L•••no longer reportedHedge Fund$62.8M2Mar 28, 2017
      I••••• E•• M••••• F••• L•••no longer reportedHedge Fund$36.0M1Mar 30, 2012
      I••••• A•• D•• F••• L•••no longer reportedHedge Fund$24.9M1Mar 30, 2012
      T•• W•••••••• F••• L•no longer reportedHedge Fund$4.7M2Mar 30, 2012
      W••••••••• F••• L•no longer reportedHedge Fund$3.2M3Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• R•••••• J•••• · Ceocontrol
        since 12/2003 · owns 75% or more
      • B••••••• P••••• B••••• · Coocontrol
        since 10/2016 · owns less than 5%
      • S••••• D••••• M• · Ccocontrol
        since 10/2016 · owns less than 5%
      • S•••••••• T•••••• T•••••• · Cfocontrol
        since 04/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      • I••••• A•••• A••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New Canaan, CT2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 9
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 11 to 10
        Mar 31, 2021 to Mar 31, 2022
      • Advisory activities · 2 to 1
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 10 to 9
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 21 to 20
        Mar 31, 2021 to Mar 31, 2022
      • Private funds · 4 to 3
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $1.7B to $1.9B
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.7B to $1.9B
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $1.7B to $1.9B
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 22 to 10
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 12 to 11
        Mar 30, 2020 to Mar 31, 2021
      • Advisory activities · 3 to 2
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 20 to 10
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 28 to 21
        Mar 30, 2020 to Mar 31, 2021
      • Other offices · 2 to 1
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 8 to 4
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $2.4B to $1.7B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $2.3B to $1.7B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $2.4B to $1.7B
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 25 to 22
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 22 to 20
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $3.0B to $2.4B
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.9B to $2.3B
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $3.0B to $2.4B
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 14 to 12
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 21 to 22
        Mar 28, 2018 to Mar 29, 2019
      • Employees · 31 to 28
        Mar 28, 2018 to Mar 29, 2019
      • HQ city · NEW CANAAN to PALM BEACH
        Mar 28, 2018 to Mar 29, 2019
      • HQ state · CT to FL
        Mar 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $2.8B to $3.0B
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.6B to $2.9B
        Mar 28, 2018 to Mar 29, 2019
      • RAUM · $2.8B to $3.0B
        Mar 28, 2018 to Mar 29, 2019
      • Accounts · 30 to 25
        Mar 30, 2017 to Mar 28, 2018
      • Advisory employees · 17 to 14
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 21.0
        Mar 30, 2017 to Mar 28, 2018
      • Employees · 34 to 31
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 2.0
        Mar 30, 2017 to Mar 28, 2018
      • Private funds · 7 to 8
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $2.3B to $2.8B
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 2581961915.0
        Mar 30, 2017 to Mar 28, 2018
      Signals
      1 dated events
      • I••••• A•••• M••••••••• L•• reported RAUM $1.7B, down 31% from $2.4B (2020-03-30 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      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