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
C•••••• M••••••••• L••
Latest filing Mar 27, 2024
First filing on the tape Mar 29, 2012 · 28 filings
SEC status approved since Jul 25, 2008
RAUM
$1.7M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$1.7M gross assets
History
28 filings and snapshots on the tape
RAUM$1.7M as of Mar 27, 2024
Mar 29, 2012$351M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Apr 4, 20130 then
Employees (5.A)4 as of Mar 27, 2024
Apr 4, 201313 then
Private funds2 as of Mar 27, 2024
Mar 29, 20123 then
RAUM -100% over the last fiscal year-88% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2024; 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
- $831,047derivedRAUM 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
- -100%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 pooled vehiclesreportedItem 5.G
- Custody
- $1.7M, 2 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)
- 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
- Pooled investment vehicles$1.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7M for 2 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• C•••••• P••••••• •••••••• L•••no longer reported | Hedge Fund | $815M | 13 | Mar 29, 2012 |
| C•••••• C•••••••• G••••••••• F•••• L•••no longer reported | Other Private Fund | $19.0M | 2 | Mar 29, 2012 |
| C•••••• C•••••• P•••••••• L•••no longer reported | Hedge Fund | $7.6M | 4 | Mar 29, 2012 |
| C•••••• C•••••• P••••••• M•••••• L•••no longer reported | Hedge Fund | $5.1M | 1 | Aug 31, 2012 |
| C•••••• I••••••••• L••• | Hedge Fund | $1.1M | 10 | Aug 31, 2012 |
| C•••••• I•••••••• I•• L• | Hedge Fund | $584,617 | 2 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••••• C•••• · Ceo & Membercontrolsince 12/2007 · owns 50% to 75%
- K•••••••• F••••• · Chief Strategistcontrolsince 09/2009 · owns less than 5%
- Q•••••• S•••••• J••••• · President, Chief Operating Officer, Chief Compliance Officer & Membercontrolsince 12/2007 · owns 50% to 75%
- Q•••••• S•••••• J••••• · Owner & Managing Membercontrolsince 09/2009 · owns 50% to 75% of S•• C•••••• L••
Entity owners
- S•• C•••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••• C•••••• P••••••• G•• L•••pooled vehicle sponsorn
- C•••••• I•••••••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 2Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $445M to $1.7MMar 30, 2023 to Mar 27, 2024
- Employees · 7 to 4Mar 30, 2023 to Mar 27, 2024
- HQ city · unset to VERO BEACHMar 30, 2023 to Mar 27, 2024
- HQ state · unset to FLMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $445M to $1.7MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $445M to $1.7MMar 30, 2023 to Mar 27, 2024
- RAUM · $445M to $1.7MMar 30, 2023 to Mar 27, 2024
- Advisory employees · 17 to 4Aug 1, 2022 to Mar 30, 2023
- Assets in custody · $876M to $445MAug 1, 2022 to Mar 30, 2023
- Employees · 25 to 7Aug 1, 2022 to Mar 30, 2023
- HQ city · WASHINGTON to unsetAug 1, 2022 to Mar 30, 2023
- HQ state · DC to unsetAug 1, 2022 to Mar 30, 2023
- Discretionary RAUM · $876M to $445MAug 1, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $876M to $445MAug 1, 2022 to Mar 30, 2023
- RAUM · $876M to $445MAug 1, 2022 to Mar 30, 2023
- Advisory employees · 16 to 17Sep 20, 2021 to Mar 29, 2022
- Assets in custody · $1.0B to $876MSep 20, 2021 to Mar 29, 2022
- Employees · 24 to 25Sep 20, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.0B to $876MSep 20, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.0B to $876MSep 20, 2021 to Mar 29, 2022
- RAUM · $1.0B to $876MSep 20, 2021 to Mar 29, 2022
- Related adviser · true to falseJul 1, 2021 to Aug 19, 2021
- Accounts · 5 to 2Mar 27, 2020 to Mar 23, 2021
- Pooled vehicle clients · 5 to 2Mar 27, 2020 to Mar 23, 2021
- Assets in custody · $1.2B to $1.0BMar 27, 2020 to Mar 23, 2021
- Employees · 31 to 24Mar 27, 2020 to Mar 23, 2021
- Private funds · 4 to 2Mar 27, 2020 to Mar 23, 2021
- Discretionary RAUM · $1.2B to $1.0BMar 27, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $1.2B to $1.0BMar 27, 2020 to Mar 23, 2021
- RAUM · $1.2B to $1.0BMar 27, 2020 to Mar 23, 2021
- Advisory employees · 21 to 16Mar 29, 2019 to Mar 27, 2020
- Assets in custody · $2.8B to $1.2BMar 29, 2019 to Mar 27, 2020
- Employees · 36 to 31Mar 29, 2019 to Mar 27, 2020
- Private funds · 5 to 4Mar 29, 2019 to Mar 27, 2020
- Discretionary RAUM · $2.8B to $1.2BMar 29, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $2.8B to $1.2BMar 29, 2019 to Mar 27, 2020
- RAUM · $2.8B to $1.2BMar 29, 2019 to Mar 27, 2020
- Advisory employees · 19 to 21Dec 14, 2018 to Mar 29, 2019
- Assets in custody · $3.4B to $2.8BDec 14, 2018 to Mar 29, 2019
Signals
5 dated events
- C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $1.7M)May 2, 2025 · Left the SEC roster · derived
- C•••••• M••••••••• L•• reported RAUM $1.7M, down 100% from $444.8M (2023-03-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- C•••••• M••••••••• L•• reported RAUM $444.8M, down 49% from $875.6M (2022-08-01 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- C•••••• M••••••••• L•• reported RAUM $1.2B, down 55% from $2.8B (2019-03-29 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- C•••••• M••••••••• L•• reported RAUM $3.4B, up 39% from $2.4B (2017-03-30 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
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