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••••••• I•••••• L•••

Former SEC-registered adviserGeorge Town, Grand Cayman, CRD 147859SEC 801-69416IAPD
Latest filing Apr 7, 2016
First filing on the tape Apr 10, 2012 · 8 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$223M as of Mar 30, 2015
Apr 10, 2012$275M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 7, 2016
Apr 1, 20130 then
Employees (5.A)6 as of Apr 7, 2016
Apr 1, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 7, 2016; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consultingreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• J•••• •••• · Managing Director/Chief Compliance Officercontrol
        since 12/2001 · owns 75% or more
      • L••••••• B•••••••• R••••• · Directorcontrol
        since 12/2001 · owns less than 5%
      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 · 2.0 to unset
        Mar 30, 2015 to Apr 7, 2016
      • Discretionary RAUM · 222500000.0 to unset
        Mar 30, 2015 to Apr 7, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Mar 30, 2015 to Apr 7, 2016
      • RAUM · 222500000.0 to unset
        Mar 30, 2015 to Apr 7, 2016
      • Discretionary RAUM · $225M to $223M
        Oct 21, 2013 to Mar 28, 2014
      • RAUM · $225M to $223M
        Oct 21, 2013 to Mar 28, 2014
      • Related bank · false to true
        Oct 21, 2013 to Mar 28, 2014
      • HQ city · GRAND CAYMAN to GEORGE TOWN, GRAND CAYMAN
        Apr 1, 2013 to Oct 21, 2013
      • Accounts · 4 to 2
        Apr 19, 2012 to Apr 1, 2013
      • Advisory employees · unset to 4.0
        Apr 19, 2012 to Apr 1, 2013
      • Advisory activities · 1 to 2
        Apr 19, 2012 to Apr 1, 2013
      • Employees · unset to 6.0
        Apr 19, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Apr 19, 2012 to Apr 1, 2013
      • Discretionary RAUM · $275M to $225M
        Apr 19, 2012 to Apr 1, 2013
      • RAUM · $275M to $225M
        Apr 19, 2012 to Apr 1, 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