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••••••• S•••••••• G••••• L••

Former SEC-registered adviserNew York, New YorkCRD 138920SEC 801-65683IAPD
Latest filing Apr 24, 2018
First filing on the tape Dec 19, 2011 · 21 filings
RAUM
$2.3B
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
32
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
16
$2.1B gross assets
History
21 filings and snapshots on the tape
RAUM$2.3B as of Mar 30, 2018
Mar 30, 2012$5.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 28, 20130 then
Employees (5.A)32 as of Mar 30, 2018
Mar 28, 201339 then
Private funds16 as of Mar 30, 2018
Mar 30, 201222 then
RAUM -42% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 24, 2018; 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
$283MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
45%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
-42%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$550M, 9 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)
  • 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$1.2B55%
  • Sovereign wealth funds$1.0B45%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$550M for 9 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
      34 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•• C••••• M•••• E•••• F••• I• L•no longer reportedHedge Fund$492M10Mar 30, 2012
      E•• C•••• B••••• E••••• M••••• F•••• L•••Hedge Fund$444M56Mar 30, 2012
      E•• C•••• B••••• E••••• F••• L•Hedge Fund$340M40Mar 30, 2012
      E•• S•••••••• F••• L•no longer reportedHedge Fund$256M10Mar 30, 2012
      E•• D••••••• O••••••••• M••••• F••• L•••Hedge Fund$251M40Mar 30, 2012
      E••••••• S•••••••• M••••• F•••• L•••no longer reportedHedge Fund$247M26Mar 30, 2012
      N• M••••• F••• L•••Hedge Fund$236M2Nov 25, 2015
      E•• M•••• O••••••••• M••••• F••• L•••no longer reportedHedge Fund$208M10Mar 30, 2012
      E•• I••••••• M••••• F••• L•••Hedge Fund$207M11Aug 22, 2016
      E•• C••••• M•••• E•••• M••••• F••• L•••Hedge Fund$175M10Mar 30, 2012
      E•• I••••••• O••••••• F••• L•••Hedge Fund$163M7Aug 22, 2016
      E•• S•••••••• M••••• F••••• L••no longer reportedHedge Fund$139M6Jun 24, 2013
      E••••••• S•••••••• F•••• L•no longer reportedHedge Fund$136M23Mar 30, 2012
      E•• D••••••• O••••••••• F••• L•Hedge Fund$133M26Mar 30, 2012
      E•• D••••••• O••••••••• O••••••• F••• L•••Hedge Fund$122M13Mar 30, 2012
      E•• S•••••••• O•••••• F••••• L•no longer reportedHedge Fund$62.3M4Jun 24, 2013
      E•• C•••• B••••• E••••• O••••••• F•••• L•••Hedge Fund$57.0M15Mar 30, 2012
      E•• C••••• M•••• E•••• F•••• L•Hedge Fund$34.8M9Mar 30, 2012
      E•• T••••••• O••••••••• M••••• P•••••••• L•••no longer reportedHedge Fund$32.1M56Mar 30, 2012
      E•• M•••• O••••••••• F••• L•••no longer reportedHedge Fund$30.1M3Mar 30, 2012
      E•• S•••••• O••••••••• F••• I• L•Private Equity Fund$27.8M3Mar 30, 2018
      E•• I••••••• F••• L•Hedge Fund$25.8M3Aug 22, 2016
      E•• S•••••••• O••••••• F••••• L••no longer reportedHedge Fund$22.9M1Jun 24, 2013
      E•• N•••• M••••• F••• L••Hedge Fund$20.9M51Aug 28, 2012
      E••••••• S•••••••• S•••••• S•••••••• F•••• L•no longer reportedHedge Fund$20.5M8Mar 30, 2012
      E•• T••••••• O••••••••• O••••••• P••••••••• L•••no longer reportedHedge Fund$20.4M17Mar 30, 2012
      E•• N•••• F••• L•Hedge Fund$14.1M37Mar 28, 2013
      E•• S•••••• O••••••••• F••• I• L•Private Equity Fund$14.0M34Mar 30, 2018
      E•• T••••••• O••••••••• P•••••••• L•no longer reportedHedge Fund$12.8M11Mar 30, 2012
      E•• M•••• O••••••••• F••• L•no longer reportedHedge Fund$12.5M7Mar 30, 2012
      E••••••• S•••••••• O••••••• F•••• L•••no longer reportedHedge Fund$12.4M2Mar 30, 2012
      E•• T••••••• O••••••••• O•••••• P•••••••• L•no longer reportedHedge Fund$11.5M38Mar 30, 2012
      E•• C••••• M•••• E•••• O••••••• F••• L•••Hedge Fund$4.8M2Mar 30, 2012
      E•• N•••• O••••••• F••• L••Hedge Fund$3.2M13Mar 28, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• J•••• K•••• · Chief Investment Officercontrol
        since 04/2002 · owns less than 5%
      • K••••••••• J••••• P••••• · Global Equity P•••••••• Managercontrol
        since 01/2005 · owns less than 5%
      • T•••••• M••• · Chief Risk Officercontrol
        since 04/2002 · owns less than 5%
      • K••••• J•••• K•••• · Membercontrol
        since 08/2016 · owns 75% or more of B••••• C•••••• P••••••• L••
      • K••••••••• J••••• P••••• · Membercontrol
        since 08/2016 · owns 75% or more of K••••••• L••
      • T•••••• M••• · Membercontrol
        since 08/2016 · owns 75% or more of T•••• I• L••
      • D••••••• K•••••• K••••••• · Chief Compliance Officer
        since 10/2014 · owns less than 5%
      • D•••• T•••••• S•••• · President
        since 01/2016 · owns less than 5%
      • T••••••• J••••• M•••••• · Chief Financial Officer
        since 01/2016 · owns less than 5%
      Entity owners
      • E••••••• S•••••••• G•••• P••••••• L• · Member
        direct · owns 75% or more
      • B••••• C•••••• P••••••• L•• · Limited Partner
        indirect · owns 25% to 50% of E••••••• S•••••••• G•••• P••••••• L•
      • E••••••• S•••••••• G•••• G• L•• · General Partner
        indirect · owns F of E••••••• S•••••••• G•••• P••••••• L•
      • K••••••• L•• · Limited Partner
        indirect · owns 25% to 50% of E••••••• S•••••••• G•••• P••••••• L•
      • T•••• I• L•• · Limited Partner
        indirect · owns 25% to 50% of E••••••• S•••••••• G•••• P••••••• L•
      Related persons
      Schedule D 7.A
      • E••••••• S•••••••• P••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 8
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 19 to 16
        Mar 31, 2017 to Mar 30, 2018
      • Advisory activities · 1 to 2
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 7.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · unset to 549637857.0
        Mar 31, 2017 to Mar 30, 2018
      • Custody of client assets · false to true
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 42 to 32
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $3.9B to $2.3B
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 1235533869.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $3.9B to $2.3B
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 7 to 6
        Nov 7, 2016 to Mar 31, 2017
      • Advisory employees · 21 to 19
        Nov 7, 2016 to Mar 31, 2017
      • Employees · 43 to 42
        Nov 7, 2016 to Mar 31, 2017
      • Private funds · 19 to 16
        Nov 7, 2016 to Mar 31, 2017
      • Discretionary RAUM · $4.7B to $3.9B
        Nov 7, 2016 to Mar 31, 2017
      • RAUM · $4.7B to $3.9B
        Nov 7, 2016 to Mar 31, 2017
      • Advisory employees · 20 to 21
        Aug 22, 2016 to Nov 7, 2016
      • BD registered reps · 5 to 0
        Aug 22, 2016 to Nov 7, 2016
      • Discretionary RAUM · $4.7B to $4.7B
        Aug 22, 2016 to Nov 7, 2016
      • RAUM · $4.7B to $4.7B
        Aug 22, 2016 to Nov 7, 2016
      • Related broker-dealer · true to false
        Aug 22, 2016 to Nov 7, 2016
      • Accounts · 6 to 7
        Mar 29, 2016 to Aug 22, 2016
      • Advisory employees · 26 to 20
        Mar 29, 2016 to Aug 22, 2016
      • BD registered reps · 4 to 5
        Mar 29, 2016 to Aug 22, 2016
      • Employees · 47 to 43
        Mar 29, 2016 to Aug 22, 2016
      • Private funds · 16 to 19
        Mar 29, 2016 to Aug 22, 2016
      • Discretionary RAUM · $7.0B to $4.7B
        Mar 29, 2016 to Aug 22, 2016
      • RAUM · $7.0B to $4.7B
        Mar 29, 2016 to Aug 22, 2016
      • Advisory employees · 25 to 26
        Nov 25, 2015 to Mar 29, 2016
      • Employees · 49 to 47
        Nov 25, 2015 to Mar 29, 2016
      • Private funds · 19 to 16
        Nov 25, 2015 to Mar 29, 2016
      • Discretionary RAUM · $7.4B to $7.0B
        Nov 25, 2015 to Mar 29, 2016
      • RAUM · $7.4B to $7.0B
        Nov 25, 2015 to Mar 29, 2016
      • Private funds · 18 to 19
        Mar 31, 2015 to Nov 25, 2015
      • Accounts · 7 to 6
        Jan 27, 2015 to Mar 31, 2015
      • Advisory employees · 23 to 25
        Jan 27, 2015 to Mar 31, 2015
      • BD registered reps · 1 to 4
        Jan 27, 2015 to Mar 31, 2015
      • Employees · 44 to 49
        Jan 27, 2015 to Mar 31, 2015
      • Private funds · 21 to 18
        Jan 27, 2015 to Mar 31, 2015
      Signals
      1 dated events
      • E••••••• S•••••••• G••••• L•• reported RAUM $2.3B, down 42% from $3.9B (2017-03-31 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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