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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SEC-registered adviser
A••••••••• A••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 28, 2012 · 23 filings
SEC status approved since Sep 17, 2010
RAUM
$137M
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$137M as of Mar 20, 2026
Mar 28, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 28, 20120 then
Employees (5.A)2 as of Mar 20, 2026
Feb 27, 201310 then
Private funds1 as of Mar 20, 2026
Mar 28, 20121 then
RAUM +19% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; 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
- $137MderivedRAUM 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
- +19%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 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
- 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)
- 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
- Pooled investment vehicles$137M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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 |
|---|---|---|---|---|
| A••••••••• D••••••• P•••••••• L• | Hedge Fund | $129M | 29 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••• E•••• E••••• · Managing Member (General Partner-Spv)controlsince 01/2009 · owns 25% to 50%
- J••••••• K••••• M•••••• · Chief Financial Officer (Adviser)controlsince 04/2009 · owns less than 5%
- M•••••• C••••••• D••••• · Chief Compliance Officercontrolsince 07/2017 · owns less than 5%
- C•••• E•••• E••••• · Trusteecontrolsince 05/2013 · owns 75% or more of 2012 C••• D•••••• Trust
Entity owners
- C••• 2••• D•••••• T•••• · Trust (Adviser)direct · owns 75% or more
Related persons
Schedule D 7.A
- A••••••••• A••••••• G• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $115M to $137MMar 31, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $115M to $137MMar 31, 2025 to Mar 20, 2026
- RAUM · $115M to $137MMar 31, 2025 to Mar 20, 2026
- Financial planning clients · unset to Jan 31, 2025 to Mar 31, 2025
- Discretionary RAUM · $129M to $115MJan 31, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $129M to $115MJan 31, 2025 to Mar 31, 2025
- RAUM · $129M to $115MJan 31, 2025 to Mar 31, 2025
- HQ city · unset to Mar 27, 2024 to Jan 31, 2025
- HQ state · unset to Mar 27, 2024 to Jan 31, 2025
- Employees · 3 to 2Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $192M to $129MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $192M to $129MMar 30, 2023 to Mar 27, 2024
- RAUM · $192M to $129MMar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $382M to $192MJul 7, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $382M to $192MJul 7, 2022 to Mar 30, 2023
- RAUM · $382M to $192MJul 7, 2022 to Mar 30, 2023
- Advisory employees · 2 to 1Apr 16, 2021 to Mar 28, 2022
- Employees · 4 to 3Apr 16, 2021 to Mar 28, 2022
- HQ city · NEW YORK to unsetApr 16, 2021 to Mar 28, 2022
- HQ state · NY to unsetApr 16, 2021 to Mar 28, 2022
- Discretionary RAUM · $451M to $382MApr 16, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $451M to $382MApr 16, 2021 to Mar 28, 2022
- RAUM · $451M to $382MApr 16, 2021 to Mar 28, 2022
- Discretionary RAUM · $295M to $451MMar 30, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $295M to $451MMar 30, 2020 to Mar 24, 2021
- RAUM · $295M to $451MMar 30, 2020 to Mar 24, 2021
- Discretionary RAUM · $208M to $295MMar 30, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $208M to $295MMar 30, 2019 to Mar 30, 2020
- RAUM · $208M to $295MMar 30, 2019 to Mar 30, 2020
- Assets in custody · 274951473.0 to unsetMar 28, 2018 to Mar 30, 2019
- Custody of client assets · true to falseMar 28, 2018 to Mar 30, 2019
- Discretionary RAUM · $275M to $208MMar 28, 2018 to Mar 30, 2019
- Pooled vehicle RAUM · $275M to $208MMar 28, 2018 to Mar 30, 2019
- RAUM · $275M to $208MMar 28, 2018 to Mar 30, 2019
- Pooled vehicle clients · unset to 1.0Jul 26, 2017 to Mar 28, 2018
- Assets in custody · $503M to $275MJul 26, 2017 to Mar 28, 2018
- Financial planning clients · 0 to unsetJul 26, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Jul 26, 2017 to Mar 28, 2018
- Discretionary RAUM · $503M to $275MJul 26, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 274951473.0Jul 26, 2017 to Mar 28, 2018
Signals
3 dated events
- A••••••••• A••••••• L•• reported RAUM $192.2M, down 50% from $382.0M (2022-07-07 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- A••••••••• A••••••• L•• reported RAUM $450.6M, up 53% from $294.7M (2020-03-30 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- A••••••••• A••••••• L•• reported RAUM $275.0M, down 45% from $503.0M (2017-07-26 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-339-5202reportedpublic record, Form ADV, Mar 20, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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