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•••••••• P•••••••• M••••••••• L••

Former SEC-registered adviserMiami, FloridaCRD 150759SEC 801-70392IAPD
Latest filing Jul 30, 2014
First filing on the tape Mar 28, 2012 · 14 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
77%
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
32
$3.3B gross assets
History
14 filings and snapshots on the tape
RAUM$3.3B as of Feb 14, 2014
Mar 28, 2012$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 14, 2014
Mar 1, 20130 then
Employees (5.A)4 as of Feb 14, 2014
Mar 1, 20134 then
Private funds30 as of Feb 14, 2014
Mar 28, 201211 then
RAUM -63% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 30, 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
$34.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
77%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
+10%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
31reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      17 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      8•••••••••no longer reportedHedge Fund$1.3B13Mar 28, 2012
      8•••••••••no longer reportedHedge Fund$988M10Mar 28, 2012
      8•••••••••no longer reportedHedge Fund$592M4Mar 28, 2012
      B••••••• S••••• I• F•••Hedge Fund$242M1May 28, 2013
      8•••••••••no longer reportedHedge Fund$143M1Mar 28, 2012
      H••• I•• F•••• I••••• • C••••• T•••••• F•••Hedge Fund$73.3M3Nov 20, 2013
      8•••••••••no longer reportedHedge Fund$63.0M100Mar 28, 2012
      N••••• H•• S••••••• F••• U•• C••••Hedge Fund$32.8M2Mar 1, 2013
      H••• I•• E•• O•••• T•••••• F•••Hedge Fund$30.9M3Mar 1, 2013
      H••• I•• R•• O•••• T•••••• F•••Hedge Fund$28.2M3Mar 1, 2013
      S•••• H••• G••••• I•••• T•••••• F•••Hedge Fund$7.7M1Mar 28, 2012
      8•••••••••no longer reportedHedge Fund$3.2M1Mar 1, 2013
      8•••••••••no longer reportedHedge Fund$1.9M1Mar 28, 2012
      8•••••••••no longer reportedHedge Fund$1.5M1Mar 28, 2012
      8•••••••••no longer reportedHedge Fund$555,6891Mar 28, 2012
      8•••••••••no longer reportedHedge Fund$447,3641Mar 28, 2012
      8•••••••••no longer reportedHedge Fund$87,8151Mar 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• A•••• •••• · Chief Investment Officercontrol
        since 05/2014 · owns less than 5%
      • K•••••• J•••• M• · Managing Director Legal, And Chief Compliance Officercontrol
        since 06/2009 · owns less than 5%
      • N•••••••• J•••••• G••••• · Chief Executive Officer And Presidentcontrol
        since 06/2009 · owns less than 5%
      • N•••••••• J•••••• G••••• · Membercontrol
        since 06/2009 · owns 75% or more of H•• G••••• L•••••
      Entity owners
      • H•• G••••• L••••• · Managing Member
        direct · owns 75% or more
      • C••••••••• H•••• F••• S••••••••• · Member
        direct · owns 10% to 25%
      • C•• P•• X•• C••••••••• S••••••••• · General Partner
        indirect · owns F of C••••••••• H•••• F••• S•••••••••
      • M• I•••••••• A••••• S•••••••• L•• · General Partner
        indirect · owns F of C••••••••• H•••• F••• S•••••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · unset to MIAMI
        Jul 29, 2014 to Jul 30, 2014
      • HQ state · unset to FL
        Jul 29, 2014 to Jul 30, 2014
      • Employees · 2 to 6
        May 27, 2014 to Jul 29, 2014
      • HQ city · CHICAGO to unset
        May 27, 2014 to Jul 29, 2014
      • HQ state · IL to unset
        May 27, 2014 to Jul 29, 2014
      • Private funds · 30 to 32
        May 7, 2014 to May 27, 2014
      • Advisory employees · 1 to 2
        Apr 11, 2014 to May 6, 2014
      • Employees · 1 to 2
        Apr 11, 2014 to May 6, 2014
      • Discretionary RAUM · $2.9B to $833M
        Apr 11, 2014 to May 6, 2014
      • Non-discretionary RAUM · $323M to $250M
        Apr 11, 2014 to May 6, 2014
      • RAUM · $3.3B to $1.1B
        Apr 11, 2014 to May 6, 2014
      • Advisory employees · 3 to 1
        Feb 14, 2014 to Apr 11, 2014
      • Employees · 4 to 1
        Feb 14, 2014 to Apr 11, 2014
      • Private funds · 32 to 30
        Nov 20, 2013 to Feb 14, 2014
      • Discretionary RAUM · $2.9B to $2.9B
        Nov 20, 2013 to Feb 14, 2014
      • Non-discretionary RAUM · $314M to $323M
        Nov 20, 2013 to Feb 14, 2014
      • RAUM · $3.2B to $3.3B
        Nov 20, 2013 to Feb 14, 2014
      • Accounts · 41 to 31
        May 28, 2013 to Nov 20, 2013
      • Private funds · 37 to 32
        May 28, 2013 to Nov 20, 2013
      • Discretionary RAUM · $2.6B to $2.9B
        May 28, 2013 to Nov 20, 2013
      • Non-discretionary RAUM · $387M to $314M
        May 28, 2013 to Nov 20, 2013
      • RAUM · $2.9B to $3.2B
        May 28, 2013 to Nov 20, 2013
      • Private funds · 36 to 37
        Mar 1, 2013 to May 28, 2013
      • Accounts · 29 to 41
        Apr 18, 2012 to Mar 1, 2013
      • Advisory employees · unset to 3.0
        Apr 18, 2012 to Mar 1, 2013
      • Employees · unset to 4.0
        Apr 18, 2012 to Mar 1, 2013
      • State-registered IARs · unset to 0.0
        Apr 18, 2012 to Mar 1, 2013
      • Private funds · 11 to 36
        Apr 18, 2012 to Mar 1, 2013
      • Discretionary RAUM · $2.7B to $2.6B
        Apr 18, 2012 to Mar 1, 2013
      • Non-discretionary RAUM · $107M to $387M
        Apr 18, 2012 to Mar 1, 2013
      • RAUM · $2.8B to $2.9B
        Apr 18, 2012 to Mar 1, 2013
      • Discretionary RAUM · $1.4B to $2.7B
        Apr 4, 2012 to Apr 5, 2012
      • Non-discretionary RAUM · $200M to $107M
        Apr 4, 2012 to Apr 5, 2012
      • RAUM · $1.6B to $2.8B
        Apr 4, 2012 to Apr 5, 2012
      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