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

T••••••• A••••••• L•••

Former SEC-registered adviserValletta, CRD 153098SEC 801-71286IAPD
Latest filing Sep 7, 2017
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$33.0M
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
1
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$26.7M gross assets
History
8 filings and snapshots on the tape
RAUM$51.7M as of Apr 10, 2017
Mar 30, 2012$170M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 10, 2017
Mar 30, 20120 then
Employees (5.A)1 as of Apr 10, 2017
Apr 1, 20132 then
Private funds2 as of Apr 10, 2017
Mar 30, 20122 then
RAUM -67% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 7, 2017; 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
$33.0MderivedRAUM 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
-48%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
otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
1reported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M• T••••••• E••••• F••• L••••••no longer reportedHedge Fund$28.8M1Oct 3, 2012
      T••••••• C••••• E••••• O••••••••• F••• S••••Hedge Fund$19.0M15Apr 30, 2015
      T••••••• E••••• F••• L••no longer reportedHedge Fund$375,6361Mar 30, 2012
      T••••••• E••••• F••• • L••no longer reportedHedge Fund$362,1441Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••• G•••••••• N•• · Director, Managing Membercontrol
        since 04/2001 · owns less than 5%
      • F••••••• B••••••• O••••• · Director Cco (Acting)
        since 09/2005 · owns less than 5%
      Entity owners
      • T••••••• H••••••• L•• •••••• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Apr 10, 2017 to Sep 7, 2017
      • Private funds · 2 to 1
        Apr 10, 2017 to Sep 7, 2017
      • Discretionary RAUM · $51.7M to $33.0M
        Apr 10, 2017 to Sep 7, 2017
      • RAUM · $51.7M to $33.0M
        Apr 10, 2017 to Sep 7, 2017
      • Private funds · 3 to 2
        Mar 22, 2016 to Apr 10, 2017
      • Discretionary RAUM · $99.7M to $51.7M
        Mar 22, 2016 to Apr 10, 2017
      • RAUM · $99.7M to $51.7M
        Mar 22, 2016 to Apr 10, 2017
      • Accounts · 5 to 3
        Apr 30, 2015 to Mar 22, 2016
      • Private funds · 4 to 3
        Apr 30, 2015 to Mar 22, 2016
      • Discretionary RAUM · $138M to $99.7M
        Apr 30, 2015 to Mar 22, 2016
      • RAUM · $138M to $99.7M
        Apr 30, 2015 to Mar 22, 2016
      • Accounts · 3 to 5
        Mar 21, 2014 to Apr 30, 2015
      • Private funds · 3 to 4
        Mar 21, 2014 to Apr 30, 2015
      • Discretionary RAUM · $68.8M to $138M
        Mar 21, 2014 to Apr 30, 2015
      • RAUM · $68.8M to $138M
        Mar 21, 2014 to Apr 30, 2015
      • Accounts · 4 to 3
        Apr 1, 2013 to Mar 21, 2014
      • Advisory employees · 1 to 0
        Apr 1, 2013 to Mar 21, 2014
      • Employees · 2 to 1
        Apr 1, 2013 to Mar 21, 2014
      • Discretionary RAUM · $157M to $68.8M
        Apr 1, 2013 to Mar 21, 2014
      • RAUM · $157M to $68.8M
        Apr 1, 2013 to Mar 21, 2014
      • Advisory employees · unset to 1.0
        Oct 3, 2012 to Apr 1, 2013
      • Employees · unset to 2.0
        Oct 3, 2012 to Apr 1, 2013
      • Discretionary RAUM · $170M to $157M
        Oct 3, 2012 to Apr 1, 2013
      • RAUM · $170M to $157M
        Oct 3, 2012 to Apr 1, 2013
      • Advisory activities · 2 to 1
        Mar 30, 2012 to Oct 3, 2012
      • Private funds · 2 to 3
        Mar 30, 2012 to Oct 3, 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