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

F••• H••• I••••••••• A•••••••• L•••

Former SEC-registered adviserStamford, ConnecticutCRD 151616SEC 801-70623IAPD
Latest filing Jul 25, 2014
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$121M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
11
$212M gross assets
History
6 filings and snapshots on the tape
RAUM$636M as of Mar 28, 2014
Apr 2, 2012$738M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Apr 2, 20120 then
Employees (5.A)3 as of Mar 28, 2014
Apr 1, 20135 then
Private funds11 as of Mar 28, 2014
Apr 2, 201211 then
RAUM -84% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 25, 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
$11.0MderivedRAUM 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
-17%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$121M, 9 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)
  • 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
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$121M for 9 clientsreported
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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••• C••••• I••••••••• F••• L•••Other Private Fund$53.6M2Mar 30, 2012
      A•••••• C••••• O••••••• F••• I• L•••Other Private Fund$42.8M15Mar 30, 2012
      I••••••••• F••• •••••••• L•••Hedge Fund$23.6M1Mar 30, 2012
      M•••••• A••••••• M••••• F••• S••••••• • M•• 1•Hedge Fund$23.6M2Mar 30, 2012
      M• F••• H••• C••••• •••••••• F•••Other Private Fund$14.6M3Mar 30, 2012
      A•••••• I••••••••• F••• •••••••• I• L•••Other Private Fund$14.5M1Mar 30, 2012
      A•••••• D•• O••••••• F••• L•Other Private Fund$13.3M5Mar 30, 2012
      A••• D•• F•••••••• F••• L•Other Private Fund$11.1M29Mar 30, 2012
      M• C••••• P••••••• D•• S••• L•••Other Private Fund$8.1M1Mar 30, 2012
      A•••••• C••••• O••••••• F••• I•• L•••Other Private Fund$6.1M4Mar 30, 2012
      F••• H••• C••••• P••••••• I• L•••Other Private Fund$1.1M6Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• L•••• G••••• · Limited Partner And Cio, F••• H••• I••••••••• A•••••••• L•••control
        since 05/2009 · owns 10% to 25%
      • R••••• V•••••• D••••••• · Chief Compliance Officercontrol
        since 06/2014 · owns less than 5%
      • C•••••• P••••••• D•••• · Member, Board Of Managerscontrol
        since 07/2012 · owns F of M• A•••• M••••••••• H•••••••• L••
      • G•••••••• L•••• G••••• · Managing Membercontrol
        since 05/2009 · owns 25% to 50% of F••• H••• I••••••••• H•••••••• L••
      • K••••••••• K••••• •••• · Member, Board Of Managerscontrol
        since 01/2012 · owns F of M• A•••• M••••••••• H•••••••• L••
      • M••••• M•••••••• •••• · Member - Board Of Managerscontrol
        since 04/2013 · owns F of M• A•••• M••••••••• H•••••••• L••
      • O••••••• N••••• · Member, Board Of Managerscontrol
        since 02/2014 · owns F of M• A•••• M••••••••• H•••••••• L••
      • R••••• V•••••• D••••••• · Managing Membercontrol
        since 05/2009 · owns 25% to 50% of F••• H••• I••••••••• H•••••••• L••
      • U•••• J••••• · Member, Board Of Managerscontrol
        since 02/2014 · owns F of M• A•••• M••••••••• H•••••••• L••
      Entity owners
      • F••• H••• I••••••••• H•••••••• L•• · General Partner, F••• H••• I••••••••• A•••••••• L•••
        direct · owns less than 5%
      • M• A•••• M••••••••• H•••••••• L•• · Limited Partner, F••• H••• I••••••••• A•••••••• L•••
        direct · owns 25% to 50%
      • M• A•••• M••••••••• H•••••••• L•• · Member
        indirect · owns 50% to 75% of F••• H••• I••••••••• H•••••••• L••
      • M• A•••• M••••••••• H•••••••• I••• · Member
        indirect · owns 75% or more of M• A•••• M••••••••• H•••••••• L••
      • M••••••••• C••••••••• · Stockholder
        indirect · owns 75% or more of M• A•••• M••••••••• H•••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Mar 28, 2014 to Jul 25, 2014
      • Assets in custody · $490M to $121M
        Mar 28, 2014 to Jul 25, 2014
      • Employees · 3 to 2
        Mar 28, 2014 to Jul 25, 2014
      • Discretionary RAUM · $636M to $121M
        Mar 28, 2014 to Jul 25, 2014
      • RAUM · $636M to $121M
        Mar 28, 2014 to Jul 25, 2014
      • Advisory employees · 5 to 3
        Apr 1, 2013 to Mar 28, 2014
      • Assets in custody · $579M to $490M
        Apr 1, 2013 to Mar 28, 2014
      • Employees · 5 to 3
        Apr 1, 2013 to Mar 28, 2014
      • HQ city · NEW YORK to STAMFORD
        Apr 1, 2013 to Mar 28, 2014
      • HQ state · NY to CT
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $768M to $636M
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $768M to $636M
        Apr 1, 2013 to Mar 28, 2014
      • Related broker-dealer · false to true
        Apr 1, 2013 to Mar 28, 2014
      • Advisory employees · unset to 5.0
        May 8, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        May 8, 2012 to Apr 1, 2013
      • Assets in custody · $480M to $579M
        May 8, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        May 8, 2012 to Apr 1, 2013
      • HQ city · STAMFORD to NEW YORK
        May 8, 2012 to Apr 1, 2013
      • HQ state · CT to NY
        May 8, 2012 to Apr 1, 2013
      • Discretionary RAUM · $738M to $768M
        May 8, 2012 to Apr 1, 2013
      • RAUM · $738M to $768M
        May 8, 2012 to Apr 1, 2013
      • Business name · A•••••• C••••• A•••••••• L••• to F••• H••• I••••••••• A•••••••• L•••
        Apr 2, 2012 to May 8, 2012
      • Assets in custody · $582M to $480M
        Mar 30, 2012 to Apr 2, 2012
      • Legal name · A•••••• C••••• A•••••••• L••• to F••• H••• I••••••••• A•••••••• L•••
        Mar 30, 2012 to Apr 2, 2012
      • Related bank · true to false
        Mar 30, 2012 to Apr 2, 2012
      • Related broker-dealer · true to false
        Mar 30, 2012 to Apr 2, 2012
      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