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

B••••• H••• C•••••• L•••

Former SEC-registered adviserToronto, CRD 155346SEC 801-72829IAPD
Latest filing Nov 13, 2014
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$699M
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$362M gross assets
History
8 filings and snapshots on the tape
RAUM$549M as of Mar 7, 2014
Mar 29, 2012$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2014
Mar 29, 20120 then
Employees (5.A)11 as of Mar 7, 2014
Mar 28, 20137 then
Private funds3 as of Mar 7, 2014
Mar 29, 20123 then
RAUM +177% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 13, 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
$63.5MderivedRAUM 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
+118%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
yesreportedItem 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••• H••• M••••• F••• L•••Hedge Fund$362M4Mar 29, 2012
      B••••• H••• E••••• F•••• L•Hedge Fund$214M2Mar 29, 2012
      B••••• H••• F•••• L•Hedge Fund$2.9M3Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• R••••••• B•••••• · Managing Partner And Chief Investment Officercontrol
        since 04/2010 · owns 25% to 50%
      • G••••••••• S••••• J••••• · Managing Partner And Director Of Researchcontrol
        since 04/2010 · owns 25% to 50%
      • M••••• F••••• S••••• · Managing Partner And Head Of Trading And Chief Compliance Officercontrol
        since 04/2010 · owns 25% to 50%
      • S•••••••• G•••••• I••• · Vice President Of Equity Researchcontrol
        since 04/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      • B••••• H••• G••• L•••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 11
        Mar 7, 2014 to Jun 17, 2014
      • Assets in custody · unset to 0.0
        Mar 7, 2014 to Jun 17, 2014
      • Custody of client assets · false to true
        Mar 7, 2014 to Jun 17, 2014
      • Employees · 11 to 10
        Mar 7, 2014 to Jun 17, 2014
      • Discretionary RAUM · $549M to $699M
        Mar 7, 2014 to Jun 17, 2014
      • RAUM · $549M to $699M
        Mar 7, 2014 to Jun 17, 2014
      • Accounts · 4 to 9
        Oct 3, 2013 to Mar 7, 2014
      • Employees · 12 to 11
        Oct 3, 2013 to Mar 7, 2014
      • Discretionary RAUM · $252M to $549M
        Oct 3, 2013 to Mar 7, 2014
      • RAUM · $252M to $549M
        Oct 3, 2013 to Mar 7, 2014
      • Private funds · 3 to 1
        Mar 7, 2014 to Mar 7, 2014
      • Advisory employees · 4 to 5
        Mar 28, 2013 to Oct 3, 2013
      • Employees · 7 to 12
        Mar 28, 2013 to Oct 3, 2013
      • Accounts · 3 to 4
        Nov 15, 2012 to Mar 28, 2013
      • Advisory employees · 5 to 4
        Nov 15, 2012 to Mar 28, 2013
      • Employees · 8 to 7
        Nov 15, 2012 to Mar 28, 2013
      • Discretionary RAUM · $103M to $252M
        Nov 15, 2012 to Mar 28, 2013
      • RAUM · $103M to $252M
        Nov 15, 2012 to Mar 28, 2013
      • Advisory employees · unset to 5.0
        Mar 29, 2012 to Nov 15, 2012
      • Employees · unset to 8.0
        Mar 29, 2012 to Nov 15, 2012
      • Related adviser · false to true
        Mar 29, 2012 to Nov 15, 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