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•••••• P•••••••• L•

Former SEC-registered adviserGreenwich, ConnecticutCRD 152213SEC 801-78191IAPD
Latest filing May 3, 2016
First filing on the tape Jun 5, 2013 · 8 filings
RAUM
$292M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$292M gross assets
History
8 filings and snapshots on the tape
RAUM$292M as of Mar 23, 2016
Mar 27, 2014$165M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2016
Mar 27, 20140 then
Employees (5.A)5 as of Mar 23, 2016
Mar 27, 20145 then
Private funds1 as of Mar 23, 2016
Mar 27, 20141 then
RAUM -9.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 3, 2016; 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
$146MderivedRAUM 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
-9.5%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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
2reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••••••• C•••••••• O••••••••• M••••• F•••• L•••Hedge Fund$292M45Jun 20, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• M••••••• D••••••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 01/2013 · owns less than 5%
      • R•••••• M••••••• A•••••• · Portfolio Managercontrol
        since 04/2009 · owns less than 5%
      • W••••••••• H•••••••• M•••••• · Portfolio Managercontrol
        since 04/2009 · owns less than 5%
      • G•••••• N•••••• C••••••• · Membercontrol
        since 11/2004 · owns 25% to 50% of M•••••• R••••• L••
      • G•••••• N•••••• C••••••• · Trusteecontrol
        since 11/2004 · owns 75% or more of 2••• R••••• F••••• T••••
      • R•••••• M••••••• A•••••• · Membercontrol
        since 11/2004 · owns 25% to 50% of M•••••• R••••• L••
      • W••••••••• B•••••• M•••••• · Membercontrol
        since 04/2009 · owns 50% to 75% of H• W•••••••• L••
      • W••••••••• H•••••••• M•••••• · Membercontrol
        since 04/2009 · owns 50% to 75% of H• W•••••••• L••
      Entity owners
      • A••••••••• C•••••• P••••••• G•• L•• · General Partner
        direct · owns less than 5%
      • H• W•••••••• L•• · Limited Partner
        direct · owns 25% to 50%
      • M•••••• R••••• L•• · Limited Partner
        direct · owns 25% to 50%
      • 2••• R••••• F••••• T•••• · Member
        indirect · owns 50% to 75% of M•••••• R••••• L••
      • H• W•••••••• L•• · Member
        indirect · owns 50% to 75% of A••••••••• C•••••• P••••••• G•• L••
      • M•••••• R••••• L•• · Member
        indirect · owns 50% to 75% of A••••••••• C•••••• P••••••• G•• L••
      • N••••• G••••• F••••• T•••• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • A••••••••• C•••••••• O••••••••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        May 1, 2015 to Mar 23, 2016
      • Assets in custody · 0.0 to unset
        May 1, 2015 to Mar 23, 2016
      • Employees · 6 to 5
        May 1, 2015 to Mar 23, 2016
      • Discretionary RAUM · $326M to $292M
        May 1, 2015 to Mar 23, 2016
      • RAUM · $326M to $292M
        May 1, 2015 to Mar 23, 2016
      • Discretionary RAUM · $323M to $326M
        Mar 25, 2015 to May 1, 2015
      • RAUM · $323M to $326M
        Mar 25, 2015 to May 1, 2015
      • Custody of client assets · true to false
        Apr 29, 2014 to Mar 25, 2015
      • Employees · 5 to 6
        Apr 29, 2014 to Mar 25, 2015
      • Discretionary RAUM · $188M to $323M
        Apr 29, 2014 to Mar 25, 2015
      • RAUM · $188M to $323M
        Apr 29, 2014 to Mar 25, 2015
      • Discretionary RAUM · $165M to $188M
        Mar 27, 2014 to Apr 29, 2014
      • RAUM · $165M to $188M
        Mar 27, 2014 to Apr 29, 2014
      • Discretionary RAUM · $140M to $165M
        Oct 16, 2013 to Mar 27, 2014
      • RAUM · $140M to $165M
        Oct 16, 2013 to Mar 27, 2014
      • Private funds · 2 to 1
        Jun 5, 2013 to Oct 16, 2013
      Signals
      1 dated events
      • A••••••••• C•••••• P•••••••• L• filed its initial SEC registration (Form ADV)
        Jun 5, 2013 · First SEC registration · fact
      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