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•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserMontvale, New JerseyCRD 142411SEC 801-67448IAPD
Latest filing Apr 19, 2012
First filing on the tape Mar 28, 2012 · 2 filings
RAUM
$64.7M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
15
$51.6M gross assets
History
2 filings and snapshots on the tape
RAUM$64.7M as of Apr 19, 2012
Mar 28, 2012$64.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 19, 2012
Mar 28, 20120 then
Employees (5.A): no history
Private funds15 as of Apr 19, 2012
Mar 28, 201215 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 19, 2012; 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$64.7M, 15 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
15reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$64.7M for 15 clientsreported
Compensation
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
      15 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••••••• C•••••• Q• F••• I••• L••Venture Capital Fund$6.5M165Mar 28, 2012
      R•••••••• C•••••• F••• I••• L••Venture Capital Fund$3.1M101Mar 28, 2012
      R•••••••• C•••••• Q• F••• I••• L••Venture Capital Fund$2.4M103Mar 28, 2012
      R•••••••• C•••••• Q• E••••• T••••••••• F••• L••Venture Capital Fund$1.9M57Mar 28, 2012
      R•••••••• C•••••• E••••• T••••••••• F••• L••Venture Capital Fund$1.9M97Mar 28, 2012
      R•••••••• I••••••••• P••••••• I• L••Venture Capital Fund$1.7M480Mar 28, 2012
      R•••••••• C•••••• Q• F••• I• L••Venture Capital Fund$1.3M271Mar 28, 2012
      R•••••••• C•••••• F••• I••• L••Venture Capital Fund$600,26445Mar 28, 2012
      R•••••••• C•••••• F••• I• L••Venture Capital Fund$403,77298Mar 28, 2012
      R•••••••• Q• F••• I•• L••Venture Capital Fund$363,145184Mar 28, 2012
      R•••••••• V•••••• P••••••• I• L••Venture Capital Fund$357,142115Mar 28, 2012
      R•••••••• I••••••••• I••• L••Venture Capital Fund$172,572132Mar 28, 2012
      R•••••••• V•••••• F••• I•• L••Venture Capital Fund$136,421101Mar 28, 2012
      R•••••••• V•••••• I••• L••Venture Capital Fund$111,736103Mar 28, 2012
      R•••••••• C•••••• V•••••• P•••••••Venture Capital Fund$101,51824Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••• R•••••• L••••• · President And Ceocontrol
        since 01/1999 · owns less than 5%
      • G•••••• L•••••• W•••• · M••••••• Directorcontrol
        since 10/2000 · owns less than 5%
      • G•••••• D•••••• V•••••• · Senior Vice President Of Legal Affairscontrol
        since 01/2003 · owns less than 5%
      • H•••••••• M••••• E• · Chief Compliance Officercontrol
        since 03/2007 · owns less than 5%
      • L•••••••• F••••• E••• · Executive Vp Of Legal Affairscontrol
        since 04/2010 · owns less than 5%
      • S••••••• E••••• B••••••• · Senior M••••••• Directorcontrol
        since 07/1999 · owns less than 5%
      • S••••••••• J••••••• H••••• · Senior Vice President And Cfocontrol
        since 04/2005 · owns less than 5%
      • S••••••• R•••••• E••••• · Owner, M••••••• Membercontrol
        since 01/1999 · owns 25% to 50%
      • S••••••• M••••••• E• · Owner
        since 03/2011 · owns 10% to 25%
      Entity owners
      • I••••••••• G•• U•••• M•• 1•• 1••• · Owner
        direct · owns 10% to 25%
      • I••••••••• T•••• U•••• M•• 1•• 1•••• R••••• E• S••••••• M••••••• T•••••• · Owner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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