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

G••••• C••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserWilmington, DelawareCRD 145923SEC 801-68663IAPD
Latest filing Dec 5, 2012
First filing on the tape Dec 15, 2011 · 5 filings
RAUM
$2.3B
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
17
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$103M gross assets
History
5 filings and snapshots on the tape
RAUM$2.3B as of Dec 5, 2012
Dec 15, 2011$3.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 17
Private funds2 as of Dec 5, 2012
Mar 29, 20122 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 5, 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
$979,302derivedRAUM 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
unknownderived2 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 individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
Custody
$103M, 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
2,328reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$103M 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••• H••••• D•••• · Co-Chief Investment Officercontrol
    since 10/2012 · owns less than 5%
  • D•••••••• R•••••• R•••••• · Directorcontrol
    since 03/2011 · owns less than 5%
  • E••••••••• P•••• D•••• · Head Of Global Equitycontrol
    since 06/2010 · owns less than 5%
  • G••••••• S••••• K•••• · Co-Chief Investment Officercontrol
    since 10/2012 · owns less than 5%
  • L•••• C••••••• K•••• · Chief Financial Officercontrol
    since 12/2011 · owns less than 5%
  • M••••••• B••••••• B••••• · General C•••••• And Chief Compliance Officercontrol
    since 06/2010 · owns less than 5%
  • M•••••• T•••••••• J•••• · Chief Operating Officercontrol
    since 06/2010 · owns less than 5%
  • N•••••••• P••••• H••••••• · Directorcontrol
    since 03/2011 · owns less than 5%
  • N••••••• J••••••• A•••• · Directorcontrol
    since 10/2011 · owns less than 5%
Entity owners
  • L••• M••••• I••• · Sole Member
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • New York, NY
What changed
consecutive filings, newest first
  • Advisory employees · unset to 8.0
    Oct 16, 2012 to Dec 5, 2012
  • BD registered reps · unset to 1.0
    Oct 16, 2012 to Dec 5, 2012
  • Employees · unset to 17.0
    Oct 16, 2012 to Dec 5, 2012
  • State-registered IARs · unset to 0.0
    Oct 16, 2012 to Dec 5, 2012
  • Accounts · 2,503 to 2,328
    Mar 29, 2012 to Jun 28, 2012
  • Assets in custody · $110M to $103M
    Mar 29, 2012 to Jun 28, 2012
  • Discretionary RAUM · $2.1B to $2.3B
    Mar 29, 2012 to Jun 28, 2012
  • RAUM · $2.1B to $2.3B
    Mar 29, 2012 to Jun 28, 2012
  • Accounts · 3,418 to 2,503
    Dec 15, 2011 to Mar 29, 2012
  • Assets in custody · $239M to $110M
    Dec 15, 2011 to Mar 29, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 15, 2011 to Mar 29, 2012
  • Private funds · unset to 2
    Dec 15, 2011 to Mar 29, 2012
  • Discretionary RAUM · $3.9B to $2.1B
    Dec 15, 2011 to Mar 29, 2012
  • RAUM · $3.9B to $2.1B
    Dec 15, 2011 to Mar 29, 2012
  • Related bank · false to true
    Dec 15, 2011 to Mar 29, 2012
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