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

A••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 151214SEC 801-71272IAPD
Latest filing Mar 30, 2018
First filing on the tape Mar 29, 2012 · 25 filings
RAUM
$81.3M
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
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$80.7M gross assets
History
25 filings and snapshots on the tape
RAUM$81.3M as of Mar 28, 2018
Mar 29, 2012$30.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Mar 29, 20120 then
Employees (5.A)10 as of Mar 28, 2018
Mar 28, 201311 then
Private funds3 as of Mar 28, 2018
Mar 29, 20126 then
RAUM +3.3% over the last fiscal year-9.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$16.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.3%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
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
  • Pooled investment vehicles$81.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• C•••••• O••••••••• F••• I•• L••Other Private Fund$10.4M10Mar 26, 2015
      A•••• V••Securitized Asset Fund$5.5M24Mar 29, 2012
      S•••• C•••••• O••••••••• F••• I••• L••Other Private Fund$4.5M30Mar 30, 2017
      A•••• A•• I•no longer reportedSecuritized Asset Fund$3.5M42Mar 28, 2013
      A•••• V•no longer reportedSecuritized Asset Fund$3.1M40Mar 29, 2012
      S•••• C•••••• O••••••••• F•••• L••Other Private Fund$2.7M31Mar 31, 2014
      A•••• I•no longer reportedReal Estate Fund$2.0M38Mar 29, 2012
      A•••• A•• I••no longer reportedSecuritized Asset Fund$2.0M21Mar 31, 2014
      Q••••••• S•••••• O••••••••• F••• L••Private Equity Fund$1.5M5Mar 28, 2013
      A•••• I••no longer reportedSecuritized Asset Fund$943,79719Mar 29, 2012
      A•••• I•no longer reportedSecuritized Asset Fund$620,29316Mar 29, 2012
      A•••• I•no longer reportedSecuritized Asset Fund$97,7599Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••• T•••••• K•••• · Presidentcontrol
        since 02/2010 · owns less than 5%
      • T••••••••• J•••• A••••• · Chief Compliance Officercontrol
        since 03/2015 · owns less than 5%
      • W•••••• R••••••• D•••• · Chairman And Ceocontrol
        since 02/2010 · owns less than 5%
      • W•••••• R••••••• D•••• · Membercontrol
        since 06/2015 · owns 75% or more of F••••• L••
      Entity owners
      • F••••• L•• · Member
        direct · owns 75% or more
      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
      • Assets in custody · 81330771.0 to unset
        Mar 28, 2018 to Mar 30, 2018
      • Custody of client assets · true to false
        Mar 28, 2018 to Mar 30, 2018
      • Accounts · 9 to 5
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Private funds · 4 to 3
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $78.7M to $81.3M
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 81330771.0
        Mar 30, 2017 to Mar 28, 2018
      • RAUM · $78.7M to $81.3M
        Mar 30, 2017 to Mar 28, 2018
      • Assets in custody · unset to 81330771.0
        Mar 28, 2018 to Mar 28, 2018
      • Custody of client assets · false to true
        Mar 28, 2018 to Mar 28, 2018
      • Accounts · 11 to 9
        Mar 9, 2017 to Mar 30, 2017
      • Advisory employees · 15 to 7
        Mar 9, 2017 to Mar 30, 2017
      • Advisory activities · 2 to 1
        Mar 9, 2017 to Mar 30, 2017
      • BD registered reps · 6 to 0
        Mar 9, 2017 to Mar 30, 2017
      • Employees · 20 to 10
        Mar 9, 2017 to Mar 30, 2017
      • Discretionary RAUM · $97.5M to $78.7M
        Mar 9, 2017 to Mar 30, 2017
      • RAUM · $97.5M to $78.7M
        Mar 9, 2017 to Mar 30, 2017
      • Related broker-dealer · true to false
        Jun 1, 2016 to Feb 1, 2017
      • Accounts · 12 to 11
        Feb 10, 2016 to Mar 30, 2016
      • Advisory employees · 8 to 15
        Feb 10, 2016 to Mar 30, 2016
      • Employees · 15 to 20
        Feb 10, 2016 to Mar 30, 2016
      • Discretionary RAUM · $76.8M to $97.5M
        Feb 10, 2016 to Mar 30, 2016
      • RAUM · $76.8M to $97.5M
        Feb 10, 2016 to Mar 30, 2016
      • Accounts · 13 to 12
        Aug 10, 2015 to Aug 10, 2015
      • Accounts · 14 to 13
        Apr 28, 2015 to Aug 10, 2015
      • Discretionary RAUM · $111M to $76.8M
        Apr 28, 2015 to Aug 10, 2015
      • RAUM · $111M to $76.8M
        Apr 28, 2015 to Aug 10, 2015
      • Employees · 14 to 15
        Aug 10, 2015 to Aug 10, 2015
      • Private funds · 5 to 4
        Aug 10, 2015 to Aug 10, 2015
      • Accounts · 16 to 14
        Mar 19, 2015 to Mar 26, 2015
      • Employees · 10 to 14
        Mar 19, 2015 to Mar 26, 2015
      • Private funds · 7 to 5
        Mar 19, 2015 to Mar 26, 2015
      • Discretionary RAUM · $70.5M to $111M
        Mar 19, 2015 to Mar 26, 2015
      • RAUM · $70.5M to $111M
        Mar 19, 2015 to Mar 26, 2015
      • Advisory employees · 4 to 8
        Mar 28, 2013 to Mar 31, 2014
      • BD registered reps · 7 to 6
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 11 to 10
        Mar 28, 2013 to Mar 31, 2014
      • Private funds · 6 to 7
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $47.1M to $70.5M
        Mar 28, 2013 to Mar 31, 2014
      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
      Across the graphs

      A••••• C•••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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