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

Y•••••••• A•••••••• L••

Former SEC-registered adviserMountainside, New JerseyCRD 155304SEC 801-73479IAPD
Latest filing Mar 26, 2014
First filing on the tape Feb 13, 2012 · 10 filings
RAUM
$130M
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
15
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$130M gross assets
History
10 filings and snapshots on the tape
RAUM$130M as of Mar 26, 2014
Mar 26, 2013$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2014
Mar 26, 20130 then
Employees (5.A)15 as of Mar 26, 2014
Mar 26, 201320 then
Private funds1 as of Mar 26, 2014
Mar 26, 20131 then
RAUM -12% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2014; 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
$130MderivedRAUM 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
-12%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
Custody
$130M, 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$130M 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Y• G••••• I••••••••• L•••Hedge Fund$97.4M25Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• M•••• A••••• · President & Managing Membercontrol
        since 11/2001 · owns 50% to 75%
      • B••••••• M••••••• J•••• · Managing Member
        since 01/2002 · owns 10% to 25%
      • E••••• G•••••• C•••••• · Managing Member
        since 01/2004 · owns 10% to 25%
      • G••••••••• S•••••• S•••• · Cco
        since 04/2005 · owns less than 5%
      • G•••••••• D•••• · General Counsel & Managing Member
        since 10/2004 · owns 10% to 25%
      • S••••••• E•••••• A••• · Coo/Cfo
        since 12/2005 · owns less than 5%
      Related persons
      Schedule D 7.A
      • Y••• G•• L•
        investment adviserpooled vehicle sponsory
      • Y•••••••• A••••••• G•••••• L•
        investment adviserpooled vehicle sponsoryRAUM $900M
      • Y•••••••• A••••••• G•• L••
        investment adviserpooled vehicle sponsory
      • Y•••••••• A••••••• U•• L••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 15 to 12
        May 17, 2013 to Mar 26, 2014
      • Assets in custody · $148M to $130M
        May 17, 2013 to Mar 26, 2014
      • Employees · 20 to 15
        May 17, 2013 to Mar 26, 2014
      • Discretionary RAUM · $148M to $130M
        May 17, 2013 to Mar 26, 2014
      • RAUM · $148M to $130M
        May 17, 2013 to Mar 26, 2014
      • Advisory employees · 22 to 15
        Nov 2, 2012 to Mar 26, 2013
      • Assets in custody · $230M to $148M
        Nov 2, 2012 to Mar 26, 2013
      • Employees · 25 to 20
        Nov 2, 2012 to Mar 26, 2013
      • HQ city · JERSEY CITY to MOUNTAINSIDE
        Nov 2, 2012 to Mar 26, 2013
      • Discretionary RAUM · $230M to $148M
        Nov 2, 2012 to Mar 26, 2013
      • RAUM · $230M to $148M
        Nov 2, 2012 to Mar 26, 2013
      • Advisory employees · unset to 26.0
        Jul 10, 2012 to Nov 2, 2012
      • BD registered reps · unset to 0.0
        Jul 10, 2012 to Nov 2, 2012
      • Employees · unset to 29.0
        Jul 10, 2012 to Nov 2, 2012
      • State-registered IARs · unset to 0.0
        Jul 10, 2012 to Nov 2, 2012
      • Accounts · 2 to 1
        Nov 2, 2012 to Nov 2, 2012
      • Advisory employees · 26 to 22
        Nov 2, 2012 to Nov 2, 2012
      • Assets in custody · $304M to $230M
        Nov 2, 2012 to Nov 2, 2012
      • Employees · 29 to 25
        Nov 2, 2012 to Nov 2, 2012
      • Private funds · 2 to 1
        Nov 2, 2012 to Nov 2, 2012
      • Discretionary RAUM · $304M to $230M
        Nov 2, 2012 to Nov 2, 2012
      • RAUM · $304M to $230M
        Nov 2, 2012 to Nov 2, 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