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

V••••••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 143956SEC 801-68223IAPD
Latest filing Apr 28, 2017
First filing on the tape Mar 2, 2012 · 12 filings
RAUM
$417M
reported, Item 5.F
Discretionary
96%
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
10
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
12
$407M gross assets
History
12 filings and snapshots on the tape
RAUM$417M as of Mar 15, 2017
Mar 2, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2017
Mar 13, 20130 then
Employees (5.A)10 as of Mar 15, 2017
Mar 13, 201311 then
Private funds12 as of Mar 15, 2017
Mar 2, 201216 then
RAUM -11% over the last fiscal year-34% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 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
$24.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
96%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
-11%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • 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
17reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      20 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G• S••••• F•••••• L••no longer reportedSecuritized Asset Fund$394M0Mar 2, 2012
      G• S••••• F•••••• 2••••• L••no longer reportedSecuritized Asset Fund$358M0Mar 2, 2012
      S••••• S••••• 2••••••• L••Securitized Asset Fund$269M0Mar 2, 2012
      K••••• P•••••••• F••••••• L••no longer reportedSecuritized Asset Fund$138M0Mar 31, 2014
      C•••••• C••• C••• L•••no longer reportedSecuritized Asset Fund$40.4M0Mar 13, 2013
      T••• A•• C•• I•• L•••no longer reportedSecuritized Asset Fund$39.9M0Mar 13, 2013
      V••••••• 2•••• 1• L•••Securitized Asset Fund$28.7M0Mar 2, 2012
      R•••••• R•••• I••••••••• V••••••• M•••••••• 2•••••no longer reportedSecuritized Asset Fund$26.0M0Mar 2, 2012
      E•••••• A•• C•• I•• L•••Securitized Asset Fund$26.0M0Mar 2, 2012
      E•••••• A•• C•• I••• L•••Securitized Asset Fund$23.8M0Mar 2, 2012
      G• S••••• F•••••• 2••••• L••no longer reportedSecuritized Asset Fund$19.9M0Mar 2, 2012
      V••••••• A•• C•• 2•••••• L•••Securitized Asset Fund$17.2M0Mar 2, 2012
      E•••••• A•• C•• I• L•••Securitized Asset Fund$13.8M0Mar 2, 2012
      S•••• H•••• L•Real Estate Fund$8.8M7Mar 2, 2012
      E•••••• A•• C•• V• L•••Securitized Asset Fund$7.4M0Mar 2, 2012
      V••••••• A•• C•• 2•••••• L•••Securitized Asset Fund$5.2M0Mar 2, 2012
      R••••••••• C••••• O••••••••• F•••• L•Real Estate Fund$5.1M39Mar 2, 2012
      R••••••••• C••••• O••••••••• F••• I•• L•Real Estate Fund$1.7M10Mar 2, 2012
      V••••••• A•• C•• 2•••••• L•••Securitized Asset Fund$682,0000Mar 2, 2012
      R••••••••• C••••• O••••••••• C••••• F••• I•• L•Real Estate Fund$324,0001Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• K••• H•••• · Partner, Chief Operating Officer And Chief Compliance Officercontrol
        since 12/2002 · owns less than 5%
      • F••••••• B•••• A•• · Partner And Portfolio Managercontrol
        since 06/2004 · owns less than 5%
      • P•••••••• C••••••••• G••••• · Partner And Chief Technology Officercontrol
        since 05/2003 · owns less than 5%
      • G•••••• B••••• T••••• · Member
        since 02/2007 · owns 25% to 50% of V••• P•••••••• L••
      Entity owners
      • V••• P•••••••• L•• · Sole Member
        direct · owns 75% or more
      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 · 18 to 17
        Mar 29, 2016 to Mar 15, 2017
      • Advisory employees · 4 to 3
        Mar 29, 2016 to Mar 15, 2017
      • Employees · 13 to 10
        Mar 29, 2016 to Mar 15, 2017
      • Private funds · 13 to 12
        Mar 29, 2016 to Mar 15, 2017
      • Discretionary RAUM · $423M to $399M
        Mar 29, 2016 to Mar 15, 2017
      • Non-discretionary RAUM · $44.4M to $17.6M
        Mar 29, 2016 to Mar 15, 2017
      • RAUM · $468M to $417M
        Mar 29, 2016 to Mar 15, 2017
      • Accounts · 19 to 18
        May 5, 2015 to Mar 28, 2016
      • Advisory employees · 5 to 4
        May 5, 2015 to Mar 28, 2016
      • Private funds · 15 to 13
        May 5, 2015 to Mar 28, 2016
      • Discretionary RAUM · $759M to $423M
        May 5, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $0 to $44.4M
        May 5, 2015 to Mar 28, 2016
      • RAUM · $759M to $468M
        May 5, 2015 to Mar 28, 2016
      • Advisory employees · 4 to 5
        Mar 3, 2015 to Mar 26, 2015
      • BD registered reps · 4 to 0
        Mar 3, 2015 to Mar 26, 2015
      • Private funds · 17 to 15
        Mar 3, 2015 to Mar 26, 2015
      • Discretionary RAUM · $1.4B to $759M
        Mar 3, 2015 to Mar 26, 2015
      • RAUM · $1.4B to $759M
        Mar 3, 2015 to Mar 26, 2015
      • Related broker-dealer · true to false
        Mar 3, 2015 to Mar 26, 2015
      • Accounts · 20 to 19
        Mar 13, 2013 to Mar 31, 2014
      • Employees · 11 to 13
        Mar 13, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.5B to $1.4B
        Mar 13, 2013 to Mar 31, 2014
      • RAUM · $1.5B to $1.4B
        Mar 13, 2013 to Mar 31, 2014
      • Accounts · 19 to 20
        Mar 2, 2012 to Mar 13, 2013
      • Advisory employees · unset to 4.0
        Mar 2, 2012 to Mar 13, 2013
      • BD registered reps · unset to 4.0
        Mar 2, 2012 to Mar 13, 2013
      • Employees · unset to 11.0
        Mar 2, 2012 to Mar 13, 2013
      • State-registered IARs · unset to 0.0
        Mar 2, 2012 to Mar 13, 2013
      • Private funds · 16 to 17
        Mar 2, 2012 to Mar 13, 2013
      • Discretionary RAUM · $1.3B to $1.5B
        Mar 2, 2012 to Mar 13, 2013
      • RAUM · $1.3B to $1.5B
        Mar 2, 2012 to Mar 13, 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
      Across the graphs

      V••••••• C••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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