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
A•• C•••••• B••••••••• ••• L••
Latest filing Mar 30, 2012
First filing on the tape Mar 30, 2012 · 1 filings
RAUM
$7.2B
reported, Item 5.F
Discretionary
78%
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
4
$202M gross assets
History
1 filings and snapshots on the tape
RAUM: $7.2B
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: 4
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
- $138MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%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
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- 52reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••• S••••• P•••••••• L•• | Hedge Fund | $27.6M | 22 | Mar 30, 2012 |
| B••••••••• G••••• I••••••••• P•••••••• L• | Hedge Fund | $26.6M | 13 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• T••••• · Co-Managing Director Of Managing Membercontrolsince 12/2011 · owns less than 5%
- D••••••• B••••• J••• · Director Of Managing Membercontrolsince 02/2009 · owns less than 5%
- K•••••• D••••• P• · Director Of Managing Membercontrolsince 02/2011 · owns less than 5%
- K•••••••• B••••• W•••••• · Director Of Managing Membercontrolsince 04/2010 · owns less than 5%
- R••••••• K••• G••••• · Director Of Managing Member And Ciocontrolsince 12/2010 · owns less than 5%
- S•••••• J••••• · Chief Compliance Officercontrolsince 03/2011 · owns less than 5%
- T••••• J•••••••• C•••• · Chief Executive Officercontrolsince 12/2011 · owns less than 5%
Entity owners
- A•• C•••••• A• H••••••• P•• L•• · Shareholderdirect · owns 25% to 50%
- A•• C•••••• B••••••••• P•• L•••••• · Managing Memberdirect · owns less than 5%
- A•• C•••••• B••••••••• P•• L•• · Shareholderdirect · owns less than 5%
- B•• G••••• H••••••• L• · Shareholderdirect · owns 25% to 50%
- A•• C•••••• A• H••••••• P•• L•••••• · Ownerindirect · owns 25% to 50% of A•• C•••••• B••••••••• ••• L••
- A•• C•••••• A• H••••••• P•• L•• · Shareholderindirect · owns 50% to 75% of A•• C•••••• B••••••••• P•• L••••••
- A•• C•••••• B••••••••• P•• L•••••• · Ownerindirect · owns F of A•• C•••••• B••••••••• ••• L••
- A•• C•••••• B••••••••• P•• L•• · Managing Memberindirect · owns F of A•• C•••••• B••••••••• ••• L••
- A•• C•••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of A•• C•••••• I•••••••• I••••••••• H••••••• L••••••
- A•• C•••••• I•••••••• I••••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of A•• C•••••• A• H••••••• P•• L••
- A•• G•••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of A•• H••••••• L••••••
- A•• H••••••• L•••••• · Shareholderindirect · owns 75% or more of A•• C•••••• H••••••• L••••••
- A•• L•••••• · Shareholderindirect · owns 75% or more of A•• G•••• H••••••• L••••••
- B•• G••••• G•• L•• · General Partnerindirect · owns F of B•• G••••• H••••••• L•
- B•• G••••• H••••••• L• · Ownerindirect · owns 25% to 50% of A•• C•••••• B••••••••• ••• L••
- B•• G••••• H••••••• L• · Shareholderindirect · owns 50% to 75% of A•• C•••••• B••••••••• P•• L••••••
- B•••••• A•••• M••••••••• H••••••• I•• · Shareholderindirect · owns 75% or more of B••••••••• U• H••••••• I••
- B••••••••• A•••• M••••••••• I••• · Ownerindirect · owns 75% or more of B•••••• A•••• M••••••••• H••••••• I•• · public reporting company
- B••••••••• I••••••••• M••••••••• H••••••• I••• · Ownerindirect · owns 75% or more of H•• H••••••• I••.
- B••••••••• I••••••••• M••••••••• I••• · Shareholderindirect · owns 75% or more of B•• G••••• H••••••• L•
Related persons
Schedule D 7.A
- A•• C•••••• B••••••••• ••• L••••••investment advisern
- A•• C•••••• B••••••••• ••• L••••••investment advisern
- A•• C•••••• B••••••••• P•• L••investment advisery
- A•• C•••••• I•••••••• L••••••investment advisery
- A•• L••••••real estatey
- B••••••••• I••••••••• M••••••••• ••••••• I•••investment advisern
- B••••••••• I••••••••• M••••••••• ••• L••••••investment advisern
- B••••••••• Public Securities Group LLCinvestment adviseryRAUM $66B
- W•••• S••••• P••••••• M••••••• L••pooled vehicle sponsorn
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
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