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

R•• A••••••••• A•••• M••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 139046SEC 801-66248IAPD
Latest filing Jan 27, 2017
First filing on the tape Jan 30, 2012 · 19 filings
RAUM
$8.6M
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
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$5.3M gross assets
History
19 filings and snapshots on the tape
RAUM$8.6M as of Jan 27, 2017
Jan 30, 2012$112M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 27, 2017
Jan 29, 20130 then
Employees (5.A)4 as of Jan 27, 2017
Jan 29, 201310 then
Private funds2 as of Jan 27, 2017
Jan 30, 20123 then
RAUM -92% over the last fiscal year-57% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 27, 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
$4.3MderivedRAUM 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
-92%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•• S••••• H•••• F••• P•••••••• L•••Hedge Fund$5.3M1Jan 30, 2012
      R•• A••••••••• S••••••••• •••• L•••Hedge Fund$565,5191Jan 30, 2012
      A•• O••••••• C••••••••• F••• L•Hedge Fund$537,7521Jan 28, 2014
      A•• A••••••••• I••••••••• S••••••••• L•••Hedge Fund$00Jan 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A•••••• D••••• · Directorcontrol
        since 01/2006 · owns less than 5%
      • D••••••• R••••• A•••••• · Directorcontrol
        since 11/2014 · owns less than 5%
      • L••• M••••••• T••••• · President / Directorcontrol
        since 04/2010 · owns less than 5%
      • T•••••• C••••• A•• · Chief Operating Officercontrol
        since 04/2010 · owns less than 5%
      • W•••••••• D••••• G•••• · Directorcontrol
        since 11/2013 · owns less than 5%
      • A••••••• T••••••• S••• · Chief Compliance Officer
        since 12/2010 · owns less than 5%
      • C••••••• E•••••• J•••• · Chief Financial Officer & Treasurer
        since 10/2016 · owns less than 5%
      Entity owners
      • R•• U•• H••••• C••••••••• · Direct Owner
        direct · owns 75% or more
      • R•••• B••• O• C••••• · Ultimate Owner
        indirect · owns 75% or more of R•••• B••• Holding Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 2
        Nov 17, 2016 to Jan 27, 2017
      • Advisory employees · 1 to 0
        Nov 17, 2016 to Jan 27, 2017
      • Advisory activities · 3 to 1
        Nov 17, 2016 to Jan 27, 2017
      • BD registered reps · 2 to 0
        Nov 17, 2016 to Jan 27, 2017
      • Private funds · 4 to 2
        Nov 17, 2016 to Jan 27, 2017
      • Discretionary RAUM · $104M to $8.6M
        Nov 17, 2016 to Jan 27, 2017
      • RAUM · $104M to $8.6M
        Nov 17, 2016 to Jan 27, 2017
      • Advisory employees · 4 to 1
        Jan 29, 2015 to Jan 28, 2016
      • BD registered reps · 5 to 2
        Jan 29, 2015 to Jan 28, 2016
      • Employees · 10 to 4
        Jan 29, 2015 to Jan 28, 2016
      • Discretionary RAUM · $110M to $104M
        Jan 29, 2015 to Jan 28, 2016
      • RAUM · $110M to $104M
        Jan 29, 2015 to Jan 28, 2016
      • BD registered reps · 6 to 5
        May 16, 2014 to Jan 28, 2015
      • Discretionary RAUM · $102M to $110M
        May 16, 2014 to Jan 28, 2015
      • RAUM · $102M to $110M
        May 16, 2014 to Jan 28, 2015
      • Accounts · 11 to 5
        Mar 7, 2014 to May 16, 2014
      • Advisory activities · 2 to 3
        Mar 7, 2014 to May 16, 2014
      • Discretionary RAUM · $107M to $102M
        Mar 7, 2014 to May 16, 2014
      • RAUM · $107M to $102M
        Mar 7, 2014 to May 16, 2014
      • Accounts · 12 to 11
        Jan 28, 2014 to Mar 7, 2014
      • Advisory activities · 3 to 2
        Jan 28, 2014 to Mar 7, 2014
      • Discretionary RAUM · $106M to $107M
        Jan 28, 2014 to Mar 7, 2014
      • Non-discretionary RAUM · $2.0M to $0
        Jan 28, 2014 to Mar 7, 2014
      • RAUM · $108M to $107M
        Jan 28, 2014 to Mar 7, 2014
      • Accounts · 8 to 12
        Oct 11, 2013 to Jan 28, 2014
      • BD registered reps · 5 to 6
        Oct 11, 2013 to Jan 28, 2014
      • Private funds · 3 to 4
        Oct 11, 2013 to Jan 28, 2014
      • Discretionary RAUM · $100M to $106M
        Oct 11, 2013 to Jan 28, 2014
      • Non-discretionary RAUM · $2.7M to $2.0M
        Oct 11, 2013 to Jan 28, 2014
      • RAUM · $103M to $108M
        Oct 11, 2013 to Jan 28, 2014
      • BD registered reps · 3 to 5
        Feb 22, 2013 to Aug 2, 2013
      • Discretionary RAUM · $100M to $100M
        Feb 22, 2013 to Aug 2, 2013
      • Non-discretionary RAUM · $2.7M to $2.7M
        Feb 22, 2013 to Aug 2, 2013
      • RAUM · $103M to $103M
        Feb 22, 2013 to Aug 2, 2013
      • Advisory employees · unset to 4.0
        Oct 2, 2012 to Jan 29, 2013
      • BD registered reps · unset to 3.0
        Oct 2, 2012 to Jan 29, 2013
      • Employees · unset to 10.0
        Oct 2, 2012 to Jan 29, 2013
      • State-registered IARs · unset to 0.0
        Oct 2, 2012 to Jan 29, 2013
      • Discretionary RAUM · $104M to $100M
        Oct 2, 2012 to Jan 29, 2013
      • Non-discretionary RAUM · $8.0M to $2.7M
        Oct 2, 2012 to Jan 29, 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