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••••••• R••••• S••••••••• L•••

Former SEC-registered adviserGeorge Town, Grand Cayman, CRD 153202SEC 801-71271IAPD
Latest filing Apr 17, 2024
First filing on the tape Apr 10, 2012 · 19 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$0 as of Feb 6, 2024
Apr 10, 2012$2.7B then
HNW client RAUM$0 as of Feb 6, 2024
Apr 26, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 6, 2024
Apr 1, 20130 then
Employees (5.A)2 as of Feb 6, 2024
Apr 1, 20139 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 17, 2024; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-100%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• J•••• •••• · Managing Director/Chief Investment Officercontrol
        since 12/2006 · owns 75% or more
      • T•••••• I••• R••• · Chief Operating Officer/Chief Compliance Officer
        since 11/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list A••••••• R••••• S••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 0
        May 1, 2023 to Feb 6, 2024
      • Advisory activities · 2 to 1
        May 1, 2023 to Feb 6, 2024
      • Financial planning clients · 0 to 1-10
        May 1, 2023 to Feb 6, 2024
      • Discretionary RAUM · $1.0M to $0
        May 1, 2023 to Feb 6, 2024
      • RAUM · $1.0M to $0
        May 1, 2023 to Feb 6, 2024
      • Accounts · unset to 1.0
        May 5, 2022 to May 1, 2023
      • Advisory activities · 1 to 2
        May 5, 2022 to May 1, 2023
      • Discretionary RAUM · unset to 1000000.0
        May 5, 2022 to May 1, 2023
      • Non-discretionary RAUM · unset to 0.0
        May 5, 2022 to May 1, 2023
      • RAUM · unset to 1000000.0
        May 5, 2022 to May 1, 2023
      • Related bank · false to true
        May 5, 2022 to May 1, 2023
      • Employees · 5 to 2
        Mar 31, 2021 to Feb 3, 2022
      • Related adviser · true to false
        Mar 20, 2020 to Mar 31, 2021
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • HNW RAUM · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • Individual RAUM · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • Pension RAUM · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 30, 2017 to Apr 26, 2018
      • Advisory employees · 6 to 2
        Apr 1, 2016 to Mar 30, 2017
      • Employees · 7 to 5
        Apr 1, 2016 to Mar 30, 2017
      • Employees · 8 to 7
        Mar 28, 2014 to Mar 20, 2015
      • Advisory employees · 3 to 6
        Oct 21, 2013 to Mar 28, 2014
      • Employees · 9 to 8
        Oct 21, 2013 to Mar 28, 2014
      • Financial planning clients · unset to 0
        Oct 21, 2013 to Mar 28, 2014
      • HQ city · GEORGE TOWN to GEORGE TOWN, GRAND CAYMAN
        Apr 1, 2013 to Oct 21, 2013
      • Accounts · 11.0 to unset
        Apr 19, 2012 to Apr 1, 2013
      • Advisory employees · unset to 3.0
        Apr 19, 2012 to Apr 1, 2013
      • Employees · unset to 9.0
        Apr 19, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Apr 19, 2012 to Apr 1, 2013
      • Discretionary RAUM · 700000000.0 to unset
        Apr 19, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · 2000000000.0 to unset
        Apr 19, 2012 to Apr 1, 2013
      • RAUM · 2700000000.0 to unset
        Apr 19, 2012 to Apr 1, 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