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

N• A••••••••• F••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 149873SEC 801-70026IAPD
Latest filing Jun 3, 2013
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$586M
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
51
35 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$586M as of Mar 28, 2013
Mar 30, 2012$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 11
Employees (5.A): 51
Private funds6 as of Mar 28, 2013
Mar 30, 20129 then
RAUM -75% over the last fiscal year
Practice profile
derived from the filing of Jun 3, 2013; every figure names its basis
RAUM per advisor
$53.3MderivedRAUM 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
$29.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.6derivedItem 5.A over advisors
Advisors per office
11.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-75%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
Custody
$404M, 14 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)
  • 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
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$404M for 14 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•••••••• B••••• G••• I• L••Hedge Fund$55.4M2Mar 30, 2012
      N•••••••• B••••• G••• U••• T••••Hedge Fund$6.2M1Mar 30, 2012
      N•••••••• B••••• G••• F•••• L•Hedge Fund$4.5M7Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• J•••••• V•••••• · Managing Director/Co-Chief Executive Officer And Co-Presidentcontrol
        since 01/2010 · owns less than 5%
      • T•••• B••••••• C••••• · Managing Director/ Co-Chief Executive Officer And Co-Presidentcontrol
        since 02/2009 · owns less than 5%
      • D••••••••• J••••• C•••••••• · Senior Vice President/General Counsel
        since 01/2010 · owns less than 5%
      • L••• W•• · Managing Director
        since 02/2009 · owns less than 5%
      • R••••••••• H••••• E••••• · Senior Vice President/Chief Compliance Officer
        since 07/2009 · owns less than 5%
      • S•••••••• R••••••• A••••• · Managing Director/Chief Operating Officer
        since 12/2010 · owns less than 5%
      Entity owners
      • N•••••••• B••••• F•••• I••••• H••••••• L•• · Member
        direct · owns 50% to 75%
      • N•••••••• B••••• H••••••• L•• · Member
        direct · owns 50% to 75%
      • N••• A••••••••• L•• · Member
        indirect · owns 50% to 75% of N•••••••• B••••• G•••• L••
      • N•••••••• B••••• G•••• L•• · Member
        indirect · owns 75% or more of N•••••••• B••••• F•••• I••••• H••••••• L••
      • N•••••••• B••••• G•••• L•• · Member
        indirect · owns 75% or more of N•••••••• B••••• H••••••• L••
      • L••••• B••••••• H••••••• I••• · Member
        indirect · owns 25% to 50% of N•••••••• B••••• G•••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 6 to unset
        Mar 28, 2013 to Jun 3, 2013
      • Accounts · 22 to 20
        May 1, 2012 to Mar 28, 2013
      • Advisory employees · unset to 35.0
        May 1, 2012 to Mar 28, 2013
      • BD registered reps · unset to 23.0
        May 1, 2012 to Mar 28, 2013
      • Assets in custody · $434M to $404M
        May 1, 2012 to Mar 28, 2013
      • Employees · unset to 51.0
        May 1, 2012 to Mar 28, 2013
      • Insurance-licensed employees · 10 to 11
        May 1, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 11.0
        May 1, 2012 to Mar 28, 2013
      • Private funds · 9 to 6
        May 1, 2012 to Mar 28, 2013
      • Discretionary RAUM · $2.3B to $586M
        May 1, 2012 to Mar 28, 2013
      • RAUM · $2.3B to $586M
        May 1, 2012 to Mar 28, 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