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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 140701SEC 801-66798IAPD
Latest filing May 15, 2017
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$431M
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
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$438M gross assets
History
9 filings and snapshots on the tape
RAUM$431M as of Mar 30, 2017
Mar 29, 2012$177M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 29, 20120 then
Employees (5.A)14 as of Mar 30, 2017
Mar 18, 201310 then
Private funds2 as of Mar 30, 2017
Mar 29, 20121 then
RAUM -38% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 15, 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
$71.8MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-38%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
$438M, 6 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
  • 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)
  • 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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$438M for 6 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• C•••••• F••• •••••••• L•no longer reportedHedge Fund$509M147Mar 18, 2013
      T•• C•••••• F••• ••••••••• L••no longer reportedHedge Fund$222M55Mar 18, 2013
      T•• C•••••• E••••••• M•••••• S••••••••• F••• ••••••••• L•••Hedge Fund$7.8M4Mar 31, 2015
      T•• C•••••• F••• ••••••••• L••Hedge Fund$4.2M27Mar 29, 2012
      T•• C•••••• B•••••• F••• ••••••••• L•••no longer reportedHedge Fund$00Mar 31, 2015
      T•• C•••••• B•••••• F••• ••••••••• L•••no longer reportedHedge Fund$00Mar 31, 2015
      T•• C•••••• E••••••• M•••••• S••••••••• F••• ••••••••• L•••no longer reportedHedge Fund$00Mar 31, 2015
      T•• C•••••• B•••••• F••• •••••••• L•••no longer reportedHedge Fund$00Mar 31, 2015
      T•• C•••••• E••••••• M•••••• S••••••••• F••• •••••••• L•••no longer reportedHedge Fund$00Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• J••••• A•••• · Managing Member, Chairman And Co-Chief Investment Officercontrol
        since 04/2006 · owns 10% to 25%
      • R•••••• J•••••• N•• · Chief Compliance Officer And Chief Financial Officercontrol
        since 06/2011 · owns less than 5%
      • E••••••••• M•••••••• T•••••• · Chief Administrative Officer
        since 01/2007 · owns 5% to 10%
      • G•• B••••• N•• · Portfolio Manager - Flagship
        since 11/2015 · owns less than 5%
      • H•••••• D••••••• L••• · Owner
        since 12/2009 · owns 10% to 25%
      • H•••••• D••••••• L•• · Owner
        since 12/2009 · owns 10% to 25%
      • H•••••• J•••••••• A•• · Owner
        since 06/2010 · owns 10% to 25%
      • L••••• K•••••• M•••• · Director Of Marketing And Business Development
        since 01/2014 · owns 5% to 10%
      • O••••• J•••••••• M••••• · Portfolio Manager - Emsf And Co-Chief Investment Officer
        since 01/2012 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • C•••••• P••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 6
        Mar 24, 2016 to Mar 30, 2017
      • Advisory employees · 8 to 9
        Mar 24, 2016 to Mar 30, 2017
      • Assets in custody · $695M to $438M
        Mar 24, 2016 to Mar 30, 2017
      • Employees · 17 to 14
        Mar 24, 2016 to Mar 30, 2017
      • Discretionary RAUM · $695M to $431M
        Mar 24, 2016 to Mar 30, 2017
      • RAUM · $695M to $431M
        Mar 24, 2016 to Mar 30, 2017
      • Accounts · 9 to 8
        Jun 8, 2015 to Mar 24, 2016
      • Assets in custody · $222M to $695M
        Jun 8, 2015 to Mar 24, 2016
      • Private funds · 9 to 2
        Jun 8, 2015 to Mar 24, 2016
      • Discretionary RAUM · $732M to $695M
        Jun 8, 2015 to Mar 24, 2016
      • RAUM · $732M to $695M
        Jun 8, 2015 to Mar 24, 2016
      • Related adviser · true to false
        Jun 8, 2015 to Mar 24, 2016
      • Accounts · 3 to 9
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $669M to $222M
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 14 to 17
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 3 to 9
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $669M to $732M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $669M to $732M
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 8
        Apr 18, 2013 to Mar 31, 2014
      • Assets in custody · $242M to $669M
        Apr 18, 2013 to Mar 31, 2014
      • Employees · 10 to 14
        Apr 18, 2013 to Mar 31, 2014
      • Discretionary RAUM · $242M to $669M
        Apr 18, 2013 to Mar 31, 2014
      • RAUM · $242M to $669M
        Apr 18, 2013 to Mar 31, 2014
      • Assets in custody · $34.2M to $242M
        Mar 18, 2013 to Apr 18, 2013
      • Discretionary RAUM · $2.4B to $242M
        Mar 18, 2013 to Apr 18, 2013
      • RAUM · $2.4B to $242M
        Mar 18, 2013 to Apr 18, 2013
      • Advisory employees · unset to 6.0
        Mar 29, 2012 to Mar 18, 2013
      • Assets in custody · $177M to $34.2M
        Mar 29, 2012 to Mar 18, 2013
      • Employees · unset to 10.0
        Mar 29, 2012 to Mar 18, 2013
      • Private funds · 1 to 3
        Mar 29, 2012 to Mar 18, 2013
      • Discretionary RAUM · $177M to $2.4B
        Mar 29, 2012 to Mar 18, 2013
      • RAUM · $177M to $2.4B
        Mar 29, 2012 to Mar 18, 2013
      • Related adviser · false to true
        Mar 29, 2012 to Mar 18, 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