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••••• P••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Feb 13, 2012 · 17 filings
SEC status approved since Mar 29, 2012
RAUM
$1.2B
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
2 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.2B as of Mar 13, 2026
Mar 15, 2013$327M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Mar 15, 20130 then
Employees (5.A)4 as of Mar 13, 2026
Mar 15, 20134 then
Private funds1 as of Mar 13, 2026
Mar 15, 20132 then
RAUM +10% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 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
- $1.2BderivedRAUM 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
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%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)
- 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)
- 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$1.2B100%
- 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
- $0 for 0 clientsreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••• P••••••• L••• | Hedge Fund | $857M | 38 | Mar 15, 2018 |
| A••••• M••••• F•••• L•••no longer reported | Hedge Fund | $461M | 44 | Feb 13, 2012 |
| A••••• F•••• I••••••••• L••• | Hedge Fund | $66.6M | 3 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- O••••••••• C••••••••• R••• · Chief Compliance Officercontrolsince 03/2008 · owns less than 5%
- R••••••• B••••••• A•••• · Managing Membercontrolsince 01/2008 · owns 50% to 75%
- S••••••• J•••••• E••••• · Membercontrolsince 01/2008 · owns 25% to 50%
Related persons
Schedule D 7.A
- A••••• F•••• G• L••bankpooled vehicle sponsorn
- A••••• P••••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.1B to $1.2BMar 6, 2025 to Mar 13, 2026
- Pooled vehicle RAUM · $1.1B to $1.2BMar 6, 2025 to Mar 13, 2026
- RAUM · $1.1B to $1.2BMar 6, 2025 to Mar 13, 2026
- Accounts · 2 to 1Mar 18, 2024 to Mar 6, 2025
- Pooled vehicle clients · 2 to 1Mar 18, 2024 to Mar 6, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 6, 2025
- HQ city · unset to Mar 18, 2024 to Mar 6, 2025
- HQ state · unset to Mar 18, 2024 to Mar 6, 2025
- Private funds · 2 to 1Mar 18, 2024 to Mar 6, 2025
- Discretionary RAUM · $923M to $1.1BMar 18, 2024 to Mar 6, 2025
- Pooled vehicle RAUM · $923M to $1.1BMar 18, 2024 to Mar 6, 2025
- RAUM · $923M to $1.1BMar 18, 2024 to Mar 6, 2025
- Discretionary RAUM · $784M to $923MMar 15, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $784M to $923MMar 15, 2023 to Mar 18, 2024
- RAUM · $784M to $923MMar 15, 2023 to Mar 18, 2024
- Discretionary RAUM · $1.0B to $784MApr 19, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $1.0B to $784MApr 19, 2022 to Mar 15, 2023
- RAUM · $1.0B to $784MApr 19, 2022 to Mar 15, 2023
- Discretionary RAUM · $1.0B to $1.0BMar 10, 2022 to Apr 19, 2022
- Pooled vehicle RAUM · $1.0B to $1.0BMar 10, 2022 to Apr 19, 2022
- RAUM · $1.0B to $1.0BMar 10, 2022 to Apr 19, 2022
- HQ city · NEW YORK to unsetMar 12, 2021 to Mar 10, 2022
- HQ state · NY to unsetMar 12, 2021 to Mar 10, 2022
- Other offices · 0 to 4Mar 12, 2021 to Mar 10, 2022
- Discretionary RAUM · $831M to $1.0BMar 12, 2021 to Mar 10, 2022
- Pooled vehicle RAUM · $831M to $1.0BMar 12, 2021 to Mar 10, 2022
- RAUM · $831M to $1.0BMar 12, 2021 to Mar 10, 2022
- Discretionary RAUM · $708M to $831MMar 9, 2020 to Mar 12, 2021
- Pooled vehicle RAUM · $708M to $831MMar 9, 2020 to Mar 12, 2021
- RAUM · $708M to $831MMar 9, 2020 to Mar 12, 2021
- Assets in custody · unset to 0.0Mar 15, 2019 to Mar 9, 2020
- Custody of client assets · false to trueMar 15, 2019 to Mar 9, 2020
- Discretionary RAUM · $517M to $708MMar 15, 2019 to Mar 9, 2020
- Pooled vehicle RAUM · $517M to $708MMar 15, 2019 to Mar 9, 2020
- RAUM · $517M to $708MMar 15, 2019 to Mar 9, 2020
- Discretionary RAUM · $607M to $517MMar 15, 2018 to Mar 15, 2019
- Pooled vehicle RAUM · $607M to $517MMar 15, 2018 to Mar 15, 2019
- RAUM · $607M to $517MMar 15, 2018 to Mar 15, 2019
- Accounts · 3 to 2Mar 21, 2017 to Mar 15, 2018
- Pooled vehicle clients · unset to 2.0Mar 21, 2017 to Mar 15, 2018
Signals
1 dated events
- A••••• P••••••• L•• reported RAUM $708.4M, up 37% from $516.7M (2019-03-15 to 2020-03-09)Mar 9, 2020 · 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
- 212-484-3100reportedpublic record, Form ADV, Mar 13, 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