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

M• S••••• I••••••••• L•••

Former SEC-registered adviserSao Paulo, CRD 155432SEC 801-72143IAPD
Latest filing Feb 22, 2016
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$1.5B
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
31
17 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$385M gross assets
History
7 filings and snapshots on the tape
RAUM$1.5B as of Feb 22, 2016
Mar 30, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 22, 2016
Mar 30, 20120 then
Employees (5.A)31 as of Feb 22, 2016
Apr 1, 201324 then
Private funds1 as of Feb 22, 2016
Mar 30, 20122 then
RAUM -12% over the last fiscal year+4.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 2016; 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
$39.3MderivedRAUM 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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$385M, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
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
37reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$385M 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M• S••••• B••••• V•••• L••• O••• M••••• F•••Hedge Fund$529M103Mar 30, 2012
      M• S••••• B••••• V•••• M••••• F•••no longer reportedHedge Fund$37.4M14Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• P••••• B••••••••• · Limited Partnercontrol
        since 03/2015 · owns 5% to 10%
      • K••••••••• M••••• R••• · Chief Compliance Officercontrol
        since 09/2015 · owns less than 5%
      • M••••••••• M•••••••• B••••••••• · Limited Partnercontrol
        since 10/2007 · owns 25% to 50%
      • M••••• A••••• · Limited Partnercontrol
        since 02/2016 · owns 25% to 50%
      • U••••• F••••••••• A•••• · Limited Partnercontrol
        since 03/2015 · owns 5% to 10%
      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 · 36 to 37
        Sep 1, 2015 to Feb 22, 2016
      • Advisory employees · 14 to 17
        Sep 1, 2015 to Feb 22, 2016
      • Assets in custody · $253M to $385M
        Sep 1, 2015 to Feb 22, 2016
      • Employees · 27 to 31
        Sep 1, 2015 to Feb 22, 2016
      • Discretionary RAUM · $1.7B to $1.5B
        Sep 1, 2015 to Feb 22, 2016
      • RAUM · $1.7B to $1.5B
        Sep 1, 2015 to Feb 22, 2016
      • Accounts · 38 to 36
        Mar 31, 2014 to Mar 27, 2015
      • Advisory employees · 15 to 14
        Mar 31, 2014 to Mar 27, 2015
      • Assets in custody · $181M to $253M
        Mar 31, 2014 to Mar 27, 2015
      • Employees · 29 to 27
        Mar 31, 2014 to Mar 27, 2015
      • Private funds · 2 to 1
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $1.4B to $1.7B
        Mar 31, 2014 to Mar 27, 2015
      • RAUM · $1.4B to $1.7B
        Mar 31, 2014 to Mar 27, 2015
      • Accounts · 30 to 38
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · 10 to 15
        Apr 1, 2013 to Mar 31, 2014
      • Assets in custody · $114M to $181M
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 24 to 29
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.3B to $1.4B
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $1.3B to $1.4B
        Apr 1, 2013 to Mar 31, 2014
      • Accounts · 28 to 30
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 10.0
        Mar 30, 2012 to Apr 1, 2013
      • Assets in custody · $117M to $114M
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 24.0
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $1.3B to $1.3B
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $1.3B to $1.3B
        Mar 30, 2012 to Apr 1, 2013
      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