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

V••••• C•••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 139119SEC 801-66419IAPD
Latest filing May 10, 2013
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$163M
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
14
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$163M gross assets
History
4 filings and snapshots on the tape
RAUM$163M as of Mar 22, 2013
Mar 30, 2012$243M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2013
Mar 30, 20120 then
Employees (5.A): 14
Private funds2 as of Mar 22, 2013
Mar 30, 20123 then
RAUM -33% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 10, 2013; 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
$81.3MderivedRAUM 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
-33%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
$163M, 2 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
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
$163M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••••• O••••••••• M••••• F•••• L••Hedge Fund$81.0M153Mar 30, 2012
      V••••• O••••••••• C•••• L•no longer reportedOther Private Fund$14.0M5Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• A•••• D•••• · Senior Managing Director And Chief Investment Officercontrol
        since 06/2005 · owns 25% to 50%
      • C••••• R•••••••• B••• · Senior Managing Director And Presidentcontrol
        since 06/2005 · owns 25% to 50%
      • S•••• L••• · General Counsel/Chief Compliance Officercontrol
        since 02/2007 · owns less than 5%
      Entity owners
      • C••••• T•••• L•••••• · Trustee To T•••• R••• T••••
        direct · owns less than 5%
      • T•••• R••• T•••• · LLC Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • V••• G•• L••
        pooled vehicle sponsorn
      • V••••• O••••••••• C••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $191M to $163M
        Mar 26, 2013 to May 10, 2013
      • Accounts · 5 to 2
        Mar 30, 2012 to Mar 22, 2013
      • Advisory employees · unset to 10.0
        Mar 30, 2012 to Mar 22, 2013
      • Assets in custody · $243M to $191M
        Mar 30, 2012 to Mar 22, 2013
      • Employees · unset to 14.0
        Mar 30, 2012 to Mar 22, 2013
      • Private funds · 3 to 2
        Mar 30, 2012 to Mar 22, 2013
      • Discretionary RAUM · $243M to $163M
        Mar 30, 2012 to Mar 22, 2013
      • RAUM · $243M to $163M
        Mar 30, 2012 to Mar 22, 2013
      Signals
      No event on the tape.
      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