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•••••• L••

Former SEC-registered adviserNew York, New YorkCRD 146133SEC 801-73668IAPD
Latest filing Mar 31, 2014
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$258M
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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$253M gross assets
History
7 filings and snapshots on the tape
RAUM$258M as of Mar 26, 2014
Mar 27, 2013$331M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2014
Mar 27, 20130 then
Employees (5.A)14 as of Mar 26, 2014
Mar 27, 201313 then
Private funds8 as of Mar 26, 2014
Mar 27, 20139 then
RAUM -22% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2014; 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
$19.8MderivedRAUM 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
-22%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, hourly, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$141M, 13 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)
  • 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
13reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$141M for 13 clientsreported
Compensation
% of AUM, hourly, 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
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••• K• E••••••••• F••• I• L•Private Equity Fund$112M61Feb 14, 2012
      G••• K• E••••••••• M••••• F••• I• L••Private Equity Fund$53.6M29Feb 14, 2012
      G••• K• E••••••••• F••• L•Private Equity Fund$45.0M100Feb 14, 2012
      T•• E••••••••• L••Private Equity Fund$20.2M5Feb 14, 2012
      G••• K• E••••••••• F••• I• ••• L•Private Equity Fund$7.2M1Feb 14, 2012
      G••• K• E••••••••• M••••• F••• L•••Private Equity Fund$6.3M11Feb 14, 2012
      G••• 2• F••• L•Hedge Fund$4.7M47Feb 14, 2012
      G••• K• F••• L•no longer reportedHedge Fund$4.3M2Feb 14, 2012
      G••• 2• F••• M••••• F••• L•Hedge Fund$3.9M20Feb 14, 2012
      R•• A•••• •••• I• L••Private Equity Fund$670,68911Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• R•••••• N••• · Managing Membercontrol
        since 05/2004 · owns 25% to 50%
      • K•••••• S•••• · Membercontrol
        since 05/2004 · owns 25% to 50%
      • M••••••• A••••• S•• · General Counselcontrol
        since 10/2012 · owns less than 5%
      • R•••••• F•••••• · Ccocontrol
        since 03/2011 · owns less than 5%
      • T•••••• E•••••• L••••••• · Cfocontrol
        since 05/2011 · owns less than 5%
      • R••••••• Z•• · Sole Member , Of R•••••• E•••••• LLC, Member Rnk
        since 05/2004 · owns less than 5%
      Entity owners
      • R•••••• E••••••• L•• · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • F••••• L••
        pooled vehicle sponsorn
      • G••• K• G• I•• L••
        bankpooled vehicle sponsorn
      • G••• K• G• I••• L••
        bankpooled vehicle sponsorn
      • G••• K• G• L••
        bankpooled vehicle sponsorn
      • R•• •••• L••
        pooled vehicle sponsory
      • S••••• P•••• L••
        n
      • S••••• P•••• M••••••••• L••
        n
      • T•• E••••••••• M•••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · 0 to unset
        Mar 26, 2014 to Mar 31, 2014
      • Accounts · 15 to 13
        Mar 27, 2013 to Mar 26, 2014
      • Advisory employees · 4 to 1
        Mar 27, 2013 to Mar 26, 2014
      • Advisory activities · 2 to 1
        Mar 27, 2013 to Mar 26, 2014
      • Assets in custody · $204M to $141M
        Mar 27, 2013 to Mar 26, 2014
      • Employees · 13 to 14
        Mar 27, 2013 to Mar 26, 2014
      • Financial planning clients · unset to 0
        Mar 27, 2013 to Mar 26, 2014
      • Private funds · 9 to 8
        Mar 27, 2013 to Mar 26, 2014
      • Discretionary RAUM · $331M to $258M
        Mar 27, 2013 to Mar 26, 2014
      • RAUM · $331M to $258M
        Mar 27, 2013 to Mar 26, 2014
      • Advisory employees · unset to 4.0
        Jul 31, 2012 to Mar 27, 2013
      • Advisory activities · 1 to 2
        Jul 31, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Jul 31, 2012 to Mar 27, 2013
      • Assets in custody · $266M to $204M
        Jul 31, 2012 to Mar 27, 2013
      • Employees · unset to 13.0
        Jul 31, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Jul 31, 2012 to Mar 27, 2013
      • Private funds · 10 to 9
        Jul 31, 2012 to Mar 27, 2013
      • Discretionary RAUM · $404M to $331M
        Jul 31, 2012 to Mar 27, 2013
      • RAUM · $404M to $331M
        Jul 31, 2012 to Mar 27, 2013
      • Assets in custody · $327M to $266M
        Apr 26, 2012 to Jul 31, 2012
      • Discretionary RAUM · $476M to $404M
        Apr 26, 2012 to Jul 31, 2012
      • RAUM · $476M to $404M
        Apr 26, 2012 to Jul 31, 2012
      • Discretionary RAUM · $479M to $476M
        Feb 14, 2012 to Mar 29, 2012
      • RAUM · $479M to $476M
        Feb 14, 2012 to Mar 29, 2012
      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