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

H••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 150300SEC 801-70204IAPD
Latest filing Sep 12, 2018
First filing on the tape Mar 20, 2012 · 14 filings
RAUM
$0
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$81.5M as of Mar 30, 2018
Mar 20, 2012$2.9M then
HNW client RAUM: $14.6M
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 20, 20120 then
Employees (5.A)4 as of Mar 30, 2018
Mar 11, 20132 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 12, 2018; 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
+30%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••••• V•••••• F••• I• L•••Venture Capital Fund$364,34345May 5, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • K•••• M••••••• R••••• · Cco, Vice President, Chief Financial Officer, Chief Operating Officer, Shareholdercontrol
        since 04/2009 · owns 25% to 50%
      • K•••• M••••••• R••• · President, Chief Executive Officer, Director, Shareholdercontrol
        since 04/2009 · owns 25% to 50%
      • D••••••••• D•••••• A•••••• · Director
        since 10/2015 · owns less than 5%
      Entity owners
      • 2••• R•••• 6• P• H•••••••• L•• · Shareholder
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,930 to 0
        Jun 24, 2018 to Sep 12, 2018
      • HNW clients · 40 to 0
        Jun 24, 2018 to Sep 12, 2018
      • Individual clients · 1,658 to 0
        Jun 24, 2018 to Sep 12, 2018
      • Assets in custody · 79913117.0 to unset
        Jun 24, 2018 to Sep 12, 2018
      • Custody of client assets · true to false
        Jun 24, 2018 to Sep 12, 2018
      • Employees · 3 to 2
        Jun 24, 2018 to Sep 12, 2018
      • Discretionary RAUM · $79.9M to $0
        Jun 24, 2018 to Sep 12, 2018
      • HNW RAUM · $12.4M to $0
        Jun 24, 2018 to Sep 12, 2018
      • Individual RAUM · $67.6M to $0
        Jun 24, 2018 to Sep 12, 2018
      • RAUM · $79.9M to $0
        Jun 24, 2018 to Sep 12, 2018
      • Wrap assets (manager) · 0.0 to unset
        Jun 24, 2018 to Sep 12, 2018
      • Wrap assets (sponsor) · 0.0 to unset
        Jun 24, 2018 to Sep 12, 2018
      • Accounts · 1,984 to 1,930
        Mar 30, 2018 to Jun 24, 2018
      • Advisory employees · 2 to 1
        Mar 30, 2018 to Jun 24, 2018
      • HNW clients · 48 to 40
        Mar 30, 2018 to Jun 24, 2018
      • Individual clients · 1,579 to 1,658
        Mar 30, 2018 to Jun 24, 2018
      • Assets in custody · $79.8M to $79.9M
        Mar 30, 2018 to Jun 24, 2018
      • Employees · 4 to 3
        Mar 30, 2018 to Jun 24, 2018
      • Discretionary RAUM · $81.5M to $79.9M
        Mar 30, 2018 to Jun 24, 2018
      • HNW RAUM · $14.6M to $12.4M
        Mar 30, 2018 to Jun 24, 2018
      • Individual RAUM · $66.9M to $67.6M
        Mar 30, 2018 to Jun 24, 2018
      • RAUM · $81.5M to $79.9M
        Mar 30, 2018 to Jun 24, 2018
      • Accounts · 1,956 to 1,984
        Dec 18, 2017 to Mar 30, 2018
      • Advisory employees · 4 to 2
        Dec 18, 2017 to Mar 30, 2018
      • Advisory activities · 3 to 2
        Dec 18, 2017 to Mar 30, 2018
      • HNW clients · 33 to 48
        Dec 18, 2017 to Mar 30, 2018
      • Individual clients · 1,507 to 1,579
        Dec 18, 2017 to Mar 30, 2018
      • Employees · 26 to 4
        Dec 18, 2017 to Mar 30, 2018
      • Private funds · 1 to unset
        Dec 18, 2017 to Mar 30, 2018
      • Discretionary RAUM · $79.8M to $81.5M
        Dec 18, 2017 to Mar 30, 2018
      • HNW RAUM · $73.1M to $14.6M
        Dec 18, 2017 to Mar 30, 2018
      • Individual RAUM · $6.8M to $66.9M
        Dec 18, 2017 to Mar 30, 2018
      • RAUM · $79.8M to $81.5M
        Dec 18, 2017 to Mar 30, 2018
      • Accounts · 1,650 to 1,956
        May 5, 2017 to Dec 18, 2017
      • Advisory activities · 4 to 3
        May 5, 2017 to Dec 18, 2017
      • Charity clients · unset to 0.0
        May 5, 2017 to Dec 18, 2017
      • Corporate clients · unset to 0.0
        May 5, 2017 to Dec 18, 2017
      • HNW clients · unset to 33.0
        May 5, 2017 to Dec 18, 2017
      • Individual clients · unset to 1507.0
        May 5, 2017 to Dec 18, 2017
      • Pension plan clients · unset to 0.0
        May 5, 2017 to Dec 18, 2017
      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