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••••• I••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 139675SEC 801-68653IAPD
Latest filing Mar 29, 2018
First filing on the tape Mar 23, 2012 · 10 filings
RAUM
$90.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$82.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$90.2M as of Mar 29, 2018
Mar 23, 2012$30.3M then
HNW client RAUM: $30.6M
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 28, 20131 then
Employees (5.A)3 as of Mar 29, 2018
Mar 28, 20135 then
Private funds: no history
RAUM +33% over the last fiscal year+5.4% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 29, 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
$589,346derivedHNW RAUM over HNW clients
Average account
$704,860derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.5%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
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$51.7M57%
  • High-net-worth individuals$30.6M34%
  • Other investment advisers$4.0M4.4%
  • Corporations and businesses$3.5M3.8%
  • Charitable organizations$412,0670.5%
Individual clients
70reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
128reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••• D••••• L••• · Managing Partner, Ccocontrol
    since 08/2011 · owns less than 5%
  • R•••••• G••••••• T••• · Managing Partnercontrol
    since 12/2004 · owns less than 5%
  • H•••• D••••• L••• · Managing Partnercontrol
    since 08/2011 · owns 25% to 50% of R••••• A•••• M••••••••• G•••• L••
  • R•••••• G••••••• T••• · Managing Partnercontrol
    since 12/2004 · owns 75% or more of R•••••• A•••••••• L••
Entity owners
  • R••••• A•••• M••••••••• G•••• L•• · Member
    direct · owns 75% or more
  • R•••••• A•••••••• L•• · Member
    indirect · owns 50% to 75% of R••••• A•••• M••••••••• G•••• L••
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 · 116 to 128
    Mar 30, 2017 to Mar 29, 2018
  • HNW clients · unset to 52.0
    Mar 30, 2017 to Mar 29, 2018
  • Individual clients · unset to 70.0
    Mar 30, 2017 to Mar 29, 2018
  • Employees · 4 to 3
    Mar 30, 2017 to Mar 29, 2018
  • State-registered IARs · 1 to 0
    Mar 30, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Mar 30, 2017 to Mar 29, 2018
  • Discretionary RAUM · $68.0M to $90.2M
    Mar 30, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 30645998.0
    Mar 30, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 51717088.0
    Mar 30, 2017 to Mar 29, 2018
  • RAUM · $68.0M to $90.2M
    Mar 30, 2017 to Mar 29, 2018
  • Accounts · 126 to 116
    Mar 30, 2016 to Mar 30, 2017
  • Discretionary RAUM · $71.0M to $68.0M
    Mar 30, 2016 to Mar 30, 2017
  • RAUM · $71.0M to $68.0M
    Mar 30, 2016 to Mar 30, 2017
  • Related bank · true to false
    Mar 30, 2016 to Mar 30, 2017
  • Accounts · 109 to 126
    Mar 30, 2015 to Mar 30, 2016
  • Advisory employees · 3 to 2
    Mar 30, 2015 to Mar 30, 2016
  • Advisory activities · 2 to 1
    Mar 30, 2015 to Mar 30, 2016
  • Employees · 6 to 4
    Mar 30, 2015 to Mar 30, 2016
  • Discretionary RAUM · $77.0M to $71.0M
    Mar 30, 2015 to Mar 30, 2016
  • RAUM · $77.0M to $71.0M
    Mar 30, 2015 to Mar 30, 2016
  • Accounts · 94 to 109
    Nov 6, 2014 to Mar 30, 2015
  • Employees · 4 to 6
    Nov 6, 2014 to Mar 30, 2015
  • Discretionary RAUM · $72.6M to $77.0M
    Nov 6, 2014 to Mar 30, 2015
  • RAUM · $72.6M to $77.0M
    Nov 6, 2014 to Mar 30, 2015
  • Accounts · 86 to 94
    Mar 28, 2014 to Nov 6, 2014
  • Advisory employees · 4 to 3
    Mar 28, 2014 to Nov 6, 2014
  • Advisory activities · 1 to 2
    Mar 28, 2014 to Nov 6, 2014
  • Employees · 5 to 4
    Mar 28, 2014 to Nov 6, 2014
  • Discretionary RAUM · $53.0M to $72.6M
    Mar 28, 2014 to Nov 6, 2014
  • RAUM · $53.0M to $72.6M
    Mar 28, 2014 to Nov 6, 2014
  • Accounts · 81 to 86
    Mar 28, 2013 to Mar 28, 2014
  • Advisory employees · 3 to 4
    Mar 28, 2013 to Mar 28, 2014
  • Discretionary RAUM · $39.5M to $53.0M
    Mar 28, 2013 to Mar 28, 2014
  • RAUM · $39.5M to $53.0M
    Mar 28, 2013 to Mar 28, 2014
  • Accounts · 74 to 81
    Mar 29, 2012 to Mar 28, 2013
  • Advisory employees · unset to 3.0
    Mar 29, 2012 to Mar 28, 2013
  • Employees · unset to 5.0
    Mar 29, 2012 to Mar 28, 2013
  • State-registered IARs · unset to 1.0
    Mar 29, 2012 to Mar 28, 2013
  • Discretionary RAUM · $30.3M to $39.5M
    Mar 29, 2012 to Mar 28, 2013
  • RAUM · $30.3M to $39.5M
    Mar 29, 2012 to Mar 28, 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