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••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserCRD 139762SEC 801-66315IAPD
Latest filing Mar 31, 2021
First filing on the tape Mar 27, 2012 · 13 filings
RAUM
$104M
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
11
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
11
$104M gross assets
History
13 filings and snapshots on the tape
RAUM$104M as of Mar 31, 2021
Mar 27, 2012$96.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 12, 20130 then
Employees (5.A)11 as of Mar 31, 2021
Mar 12, 20138 then
Private funds11 as of Mar 31, 2021
Mar 26, 20145 then
RAUM -41% over the last fiscal year-17% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Mar 31, 2021; 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
$20.8MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-41%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
$104M, 5 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$104M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$104M for 5 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
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••••• P•••••••• L••Private Equity Fund$64.4M23Mar 26, 2014
      E••••••••• P•••••••• L••••• • C•••• N•Hedge Fund$21.4M4Nov 5, 2020
      E••••••••• P•••••••• L••••• • C•••• O•Hedge Fund$17.6M10Nov 5, 2020
      E••••••••• P•••••••• L••••• • C•••• L•Hedge Fund$13.8M1Nov 5, 2020
      E••••••••• P•••• H•••••• F•••• L•Hedge Fund$11.5M27Mar 30, 2017
      E••••••••• H•••••• F•••• L•Hedge Fund$11.0M6Mar 26, 2014
      E••••••••• P•••••••• L••••• • C•••• G•Private Equity Fund$10.0M38Nov 5, 2020
      P• I••••••••• L••Private Equity Fund$4.3M13Nov 5, 2020
      E••••••••• T•••••• F•••• L•Private Equity Fund$4.3M1Mar 28, 2022
      Q•••••• S•••••••• M••••••••• L•Hedge Fund$3.9M8Mar 26, 2014
      E••••••••• L•••• F••• B••••• L••Hedge Fund$2.8M27Nov 5, 2020
      E••••••••• L•••• F•••Hedge Fund$2.7M26Mar 26, 2014
      E••••••••• P•••••••• L••••• • C•••• I•Hedge Fund$1.8M6Nov 5, 2020
      E••••••••• P•••••••• L••••• • C•••• K•Hedge Fund$1.4M2Nov 5, 2020
      E••••••••• Y•••• P••••••• L••Private Equity Fund$799,77713Mar 26, 2014
      E••••••••• P•••••••• L••••• • C•••• C•Private Equity Fund$108,81622Nov 5, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• A•••••• H••• · Managing Membercontrol
        since 11/1995 · owns 75% or more
      • N•••••••• I•••••• · Cco And Coocontrol
        since 12/2020 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Buenos Aires, Argentina3 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 5
        Dec 18, 2020 to Mar 31, 2021
      • Advisory activities · 2 to 1
        Dec 18, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 7 to 5
        Dec 18, 2020 to Mar 31, 2021
      • Assets in custody · $95.0M to $104M
        Dec 18, 2020 to Mar 31, 2021
      • HQ city · BUENOS AIRES to unset
        Dec 18, 2020 to Mar 31, 2021
      • Other offices · 1 to 2
        Dec 18, 2020 to Mar 31, 2021
      • Private funds · 13 to 11
        Dec 18, 2020 to Mar 31, 2021
      • Discretionary RAUM · $95.0M to $104M
        Dec 18, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $82.8M to $104M
        Dec 18, 2020 to Mar 31, 2021
      • RAUM · $95.0M to $104M
        Dec 18, 2020 to Mar 31, 2021
      • Accounts · 9 to 8
        Apr 25, 2020 to Nov 5, 2020
      • Advisory employees · 6 to 4
        Apr 25, 2020 to Nov 5, 2020
      • Advisory activities · 1 to 2
        Apr 25, 2020 to Nov 5, 2020
      • Pooled vehicle clients · 6 to 7
        Apr 25, 2020 to Nov 5, 2020
      • Assets in custody · unset to 95014016.0
        Apr 25, 2020 to Nov 5, 2020
      • Custody of client assets · false to true
        Apr 25, 2020 to Nov 5, 2020
      • Private funds · 6 to 13
        Apr 25, 2020 to Nov 5, 2020
      • Discretionary RAUM · $145M to $95.0M
        Apr 25, 2020 to Nov 5, 2020
      • Non-discretionary RAUM · $30.6M to $0
        Apr 25, 2020 to Nov 5, 2020
      • Pooled vehicle RAUM · $145M to $82.8M
        Apr 25, 2020 to Nov 5, 2020
      • RAUM · $176M to $95.0M
        Apr 25, 2020 to Nov 5, 2020
      • Accounts · 5 to 9
        Mar 31, 2019 to Apr 25, 2020
      • Advisory employees · 5 to 6
        Mar 31, 2019 to Apr 25, 2020
      • Pooled vehicle clients · 5 to 6
        Mar 31, 2019 to Apr 25, 2020
      • Assets in custody · 169866582.0 to unset
        Mar 31, 2019 to Apr 25, 2020
      • Custody of client assets · true to false
        Mar 31, 2019 to Apr 25, 2020
      • Employees · 10 to 11
        Mar 31, 2019 to Apr 25, 2020
      • Other offices · 2 to 1
        Mar 31, 2019 to Apr 25, 2020
      • Private funds · 5 to 6
        Mar 31, 2019 to Apr 25, 2020
      • Discretionary RAUM · $201M to $145M
        Mar 31, 2019 to Apr 25, 2020
      • Non-discretionary RAUM · $0 to $30.6M
        Mar 31, 2019 to Apr 25, 2020
      • Pooled vehicle RAUM · $170M to $145M
        Mar 31, 2019 to Apr 25, 2020
      • RAUM · $201M to $176M
        Mar 31, 2019 to Apr 25, 2020
      • Pooled vehicle clients · 4 to 5
        Mar 29, 2018 to Mar 31, 2019
      • Assets in custody · $146M to $170M
        Mar 29, 2018 to Mar 31, 2019
      • Private funds · 6 to 5
        Mar 29, 2018 to Mar 31, 2019
      • Discretionary RAUM · $181M to $201M
        Mar 29, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $151M to $170M
        Mar 29, 2018 to Mar 31, 2019
      • RAUM · $181M to $201M
        Mar 29, 2018 to Mar 31, 2019
      • Accounts · 7 to 5
        Mar 30, 2017 to Mar 29, 2018
      Signals
      3 dated events
      • I•••••• N••••••• (Cco And Coo) appeared on Schedule A of E••••••••• C•••••• M••••••••• L••
        Dec 18, 2020 · Control person joined · fact
      • Oliver Joseph Harper (Cco And Coo) no longer on Schedule A of E••••••••• C•••••• M••••••••• L•• (listed 2020-11-05, absent 2020-12-18)
        Dec 18, 2020 · Control person left · inference
      • E••••••••• C•••••• M••••••••• L•• reported RAUM $181.0M, down 62% from $478.7M (2017-03-30 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      E•••••••••.NETreportedpublic record, Form ADV, Sep 19, 2026
      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