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•••••• I••••••••• M••••••••• L••••••

Former SEC-registered adviserToronto, Ontario, CRD 153039SEC 801-71338IAPD
Latest filing Nov 29, 2016
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$133M
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
14
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$2.6M gross assets
History
10 filings and snapshots on the tape
RAUM$173M as of Apr 1, 2016
Mar 29, 2012$227M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2016
Mar 28, 20130 then
Employees (5.A)14 as of Apr 1, 2016
Mar 28, 20137 then
Private funds2 as of Apr 1, 2016
Mar 29, 20122 then
RAUM -41% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 29, 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
$4.0MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-23%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
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$110M, 5 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
33reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$110M for 5 clientsreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• A•••• S•••• F•••no longer reportedHedge Fund$2.9M9Mar 29, 2012
      A•••••• U••• R••• E••••• F••• L•Real Estate Fund$1.5M12Mar 28, 2013
      A•••••• U• L•••• F•••••• F•••Other Private Fund$1.1M5Mar 26, 2014
      A•••••• A•••• A••••••••• F•••no longer reportedOther Private Fund$1.0M160Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••• S•••• D•••• · Chief Compliance Officercontrol
        since 03/2012 · owns less than 5%
      • M••••••• T•••••• W•••••• · Chief Financial Officercontrol
        since 12/2010 · owns less than 5%
      • N••••• M••••• S•••••• · Ownercontrol
        since 06/2010 · owns 75% or more of A•••••• I••••••••• M••••••••• C•••••••••
      Entity owners
      • A•••••• I••••••••• M••••••••• C••••••••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list A•••••• I••••••••• M••••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      • Toronto, Canada
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $173M to $133M
        Nov 28, 2016 to Nov 29, 2016
      • RAUM · $173M to $133M
        Nov 28, 2016 to Nov 29, 2016
      • Accounts · 36 to 33
        Mar 31, 2015 to Apr 1, 2016
      • Advisory employees · 3 to 4
        Mar 31, 2015 to Apr 1, 2016
      • Assets in custody · $160M to $110M
        Mar 31, 2015 to Apr 1, 2016
      • Employees · 7 to 14
        Mar 31, 2015 to Apr 1, 2016
      • Discretionary RAUM · $226M to $173M
        Mar 31, 2015 to Apr 1, 2016
      • RAUM · $226M to $173M
        Mar 31, 2015 to Apr 1, 2016
      • Accounts · 28 to 36
        Mar 26, 2014 to Mar 31, 2015
      • Assets in custody · $156M to $160M
        Mar 26, 2014 to Mar 31, 2015
      • Private funds · 3 to 2
        Mar 26, 2014 to Mar 31, 2015
      • Discretionary RAUM · $220M to $226M
        Mar 26, 2014 to Mar 31, 2015
      • RAUM · $220M to $226M
        Mar 26, 2014 to Mar 31, 2015
      • Related broker-dealer · false to true
        Mar 26, 2014 to Mar 31, 2015
      • Accounts · 17 to 28
        Mar 28, 2013 to Mar 26, 2014
      • Assets in custody · $132M to $156M
        Mar 28, 2013 to Mar 26, 2014
      • Discretionary RAUM · $185M to $220M
        Mar 28, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $161M to $0
        Mar 28, 2013 to Mar 26, 2014
      • RAUM · $346M to $220M
        Mar 28, 2013 to Mar 26, 2014
      • Accounts · 15 to 17
        Mar 29, 2012 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        Mar 29, 2012 to Mar 28, 2013
      • Assets in custody · $158M to $132M
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 7.0
        Mar 29, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Mar 28, 2013
      • Private funds · 2 to 3
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $50.0M to $185M
        Mar 29, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $177M to $161M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $227M to $346M
        Mar 29, 2012 to Mar 28, 2013
      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
      Across the graphs

      A•••••• I••••••••• 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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