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
I••••••••• A•••••••
Legal name I••••••••• A••••••• I•••••••••
Latest filing Feb 28, 2023
First filing on the tape Apr 2, 2012 · 16 filings
RAUM
$25.2M
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
0
beyond the principal office
Private funds
1
$7.0M gross assets
History
16 filings and snapshots on the tape
RAUM$25.2M as of Feb 28, 2023
Apr 2, 2012$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 28, 2023
Mar 26, 20131 then
Employees (5.A)2 as of Feb 28, 2023
Mar 26, 20132 then
Private funds1 as of Feb 28, 2023
Mar 26, 20131 then
RAUM -24% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 28, 2023; 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
- $12.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 72%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
- -24%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $7.0M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$18.2M72%
- Pooled investment vehicles$7.0M28%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.0M for 1 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••••• F•••• I••••• F•••• L••• | Hedge Fund | $7.0M | 5 | Mar 26, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• D••••• J••• · Presidentcontrolsince 08/2001 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2Oct 31, 2022 to Feb 28, 2023
- Pension plan clients · 2 to 1Oct 31, 2022 to Feb 28, 2023
- Assets in custody · $7.9M to $7.0MOct 31, 2022 to Feb 28, 2023
- Discretionary RAUM · $33.3M to $25.2MOct 31, 2022 to Feb 28, 2023
- Pension RAUM · $25.4M to $18.2MOct 31, 2022 to Feb 28, 2023
- Pooled vehicle RAUM · $7.9M to $7.0MOct 31, 2022 to Feb 28, 2023
- RAUM · $33.3M to $25.2MOct 31, 2022 to Feb 28, 2023
- Assets in custody · $8.4M to $7.9MMar 24, 2021 to Mar 24, 2022
- Discretionary RAUM · $44.5M to $33.3MMar 24, 2021 to Mar 24, 2022
- Pension RAUM · $36.0M to $25.4MMar 24, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $8.4M to $7.9MMar 24, 2021 to Mar 24, 2022
- RAUM · $44.5M to $33.3MMar 24, 2021 to Mar 24, 2022
- Assets in custody · $9.6M to $8.4MMar 31, 2020 to Mar 24, 2021
- Employees · 3 to 2Mar 31, 2020 to Mar 24, 2021
- HQ city · COCONUT GROVE to unsetMar 31, 2020 to Mar 24, 2021
- HQ state · FL to unsetMar 31, 2020 to Mar 24, 2021
- Discretionary RAUM · $46.4M to $44.5MMar 31, 2020 to Mar 24, 2021
- Pension RAUM · $36.8M to $36.0MMar 31, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $9.6M to $8.4MMar 31, 2020 to Mar 24, 2021
- RAUM · $46.4M to $44.5MMar 31, 2020 to Mar 24, 2021
- Assets in custody · $44.5M to $9.6MMar 27, 2019 to Mar 31, 2020
- Discretionary RAUM · $44.5M to $46.4MMar 27, 2019 to Mar 31, 2020
- Pension RAUM · $35.9M to $36.8MMar 27, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $8.7M to $9.6MMar 27, 2019 to Mar 31, 2020
- RAUM · $44.5M to $46.4MMar 27, 2019 to Mar 31, 2020
- Assets in custody · $58.2M to $44.5MMar 28, 2018 to Mar 27, 2019
- Discretionary RAUM · $58.2M to $44.5MMar 28, 2018 to Mar 27, 2019
- Pension RAUM · $45.9M to $35.9MMar 28, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $12.4M to $8.7MMar 28, 2018 to Mar 27, 2019
- RAUM · $58.2M to $44.5MMar 28, 2018 to Mar 27, 2019
- Pension plan clients · unset to 2.0Mar 29, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 1.0Mar 29, 2017 to Mar 28, 2018
- Assets in custody · $52.8M to $58.2MMar 29, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 28, 2018
- Discretionary RAUM · $52.8M to $58.2MMar 29, 2017 to Mar 28, 2018
- Pension RAUM · unset to 45879093.0Mar 29, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 12355073.0Mar 29, 2017 to Mar 28, 2018
- RAUM · $52.8M to $58.2MMar 29, 2017 to Mar 28, 2018
- Accounts · 4 to 3Mar 29, 2016 to Mar 29, 2017
- Assets in custody · $87.9M to $52.8MMar 29, 2016 to Mar 29, 2017
Signals
1 dated events
- I••••••••• A••••••• filed its initial SEC registration (Form ADV)Jul 30, 2014 · 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