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
V••••••• S••••••• M••••••••• L•••
Latest filing Mar 27, 2013
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$27.2M
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
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$27.2M gross assets
History
4 filings and snapshots on the tape
RAUM$27.2M as of Mar 27, 2013
Mar 30, 2012$52.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2013
Mar 30, 20120 then
Employees (5.A): 4
Private funds1 as of Mar 27, 2013
Mar 30, 20121 then
RAUM -48% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2013; 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
- $9.1MderivedRAUM 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
- unknownderived2 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
- otherreportedItem 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
- 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)
- 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
- 3reported
- Financial planning clients
- n/areported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••••• S••••••• M••••• F•••• L••• | Hedge Fund | $27.2M | 3 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• A••••••• A••••• · General Counsel/Chief Compliance Officercontrolsince 01/2007 · owns less than 5%
- H••••• G•••••• F•••• · Chief Operating Officercontrolsince 01/2007 · owns less than 5%
- L•••••••• D••••• J•••• · Managing Partner/Chief Investment Officercontrolsince 01/2007 · owns 75% or more
- S••• C••••• W••• · Chief Financial Officercontrolsince 01/2007 · owns less than 5%
- H••••• G•••••• F•••• · Elected Member Of The Management Boardcontrolsince 11/2007 · owns F of V••••••• H••••••• G•• L••
- L•••••••• D••••• J•••• · Managing Membercontrolsince 01/2010 · owns 75% or more of V••••••• S••••••• S••• L••
- L•••••••• D••••• J•••• · Managing Membercontrolsince 01/2007 · owns 75% or more of V••••••• S••••••• M••••••••• L••
- M•••••• G•••••••• M•••• · Elected Member Of The Management Boardcontrolsince 11/2007 · owns F of V••••••• H••••••• G•• L••
- U••••• J••••••• W••••••• · Elected Member Of The Management Boardcontrolsince 11/2007 · owns F of V••••••• H••••••• G•• L••
Entity owners
- V••••••• C•••••• M••••••••• L• · Limited Partnerdirect · owns 25% to 50%
- V••••••• S••••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
- V••••••• C•••••• M••••••••• L•• · General Partnerindirect · owns F of V••••••• C•••••• M••••••••• L•
- V••••••• H••••••• G•• L•• · General Partnerindirect · owns F of V••••••• H•••••••• L•
- V••••••• H•••••••• L• · Limited Partnerindirect · owns 75% or more of V••••••• C•••••• M••••••••• L•••
- V••••••• H•••••••• L• · Managing Memberindirect · owns F of V••••••• C•••••• M••••••••• L••
- V••••••• H•••••••• L• · Limited Partnerindirect · owns 25% to 50% of V••••••• S••••••• M••••••••• L••
- V••••••• S••••••• S••• L•• · Limited Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- V• S••••••• P•••••••• L••bankpooled vehicle sponsorn
- V••••••• C•••••• M••••••••• L•••investment advisernRAUM $11B
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 5 to 3Aug 14, 2012 to Mar 27, 2013
- Advisory employees · unset to 1.0Aug 14, 2012 to Mar 27, 2013
- Employees · unset to 4.0Aug 14, 2012 to Mar 27, 2013
- Discretionary RAUM · $30.0M to $27.2MAug 14, 2012 to Mar 27, 2013
- RAUM · $30.0M to $27.2MAug 14, 2012 to Mar 27, 2013
- Related bank · false to trueAug 14, 2012 to Mar 27, 2013
- Discretionary RAUM · $28.2M to $30.0MJun 22, 2012 to Aug 14, 2012
- RAUM · $28.2M to $30.0MJun 22, 2012 to Aug 14, 2012
- Discretionary RAUM · $52.5M to $28.2MMar 30, 2012 to Jun 22, 2012
- RAUM · $52.5M to $28.2MMar 30, 2012 to Jun 22, 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