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
C•••••••• I••••••••• P•••••••• L••
Latest filing Dec 12, 2021
First filing on the tape Feb 15, 2012 · 19 filings
RAUM
$151M
reported, Item 5.F
Discretionary
92%
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$151M gross assets
History
19 filings and snapshots on the tape
RAUM$151M as of Mar 29, 2021
Mar 26, 2013$247M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Mar 26, 20130 then
Employees (5.A)4 as of Mar 29, 2021
Mar 26, 20138 then
Private funds2 as of Mar 29, 2021
Mar 26, 20133 then
RAUM -31% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 12, 2021; 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
- $75.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%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
- -31%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
- $138M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$151M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $138M 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• C••••• O••••••••• F••• I••• L• | Hedge Fund | $67.1M | 76 | Mar 29, 2014 |
| C•••••••• C••••• O••••••••• F••• I•• L•no longer reported | Hedge Fund | $47.2M | 71 | Feb 15, 2012 |
| C•••••••• A••••••• I••••••••• P•••••••• L•• | Private Equity Fund | $21.0M | 5 | Mar 31, 2023 |
| C•••••••• C••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $13.4M | 53 | Feb 15, 2012 |
| C•••••••• T••••••••• L••• | Private Equity Fund | $10.1M | 3 | Feb 15, 2012 |
| C•••••••• S••••• P•••••••• L•• | Private Equity Fund | $9.6M | 6 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• T•••••• P•••••••• · Managing Membercontrolsince 03/2009 · owns 50% to 75%
- K••••••••• M••••••• L•••• · Chief Compliance Officer & Chief Financial Officercontrolsince 10/2010 · owns less than 5%
- M•••••• P••••••• L••• · Managing Membercontrolsince 03/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••••• C••••• S••••••••• G• I•• L••bankpooled vehicle sponsorn
- C•••••••• C••••• S••••••••• G• I••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2Mar 30, 2020 to Mar 29, 2021
- Advisory employees · 5 to 4Mar 30, 2020 to Mar 29, 2021
- Pooled vehicle clients · 3 to 2Mar 30, 2020 to Mar 29, 2021
- Employees · 5 to 4Mar 30, 2020 to Mar 29, 2021
- Private funds · 3 to 2Mar 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $205M to $138MMar 30, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $12.2M to $12.5MMar 30, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $218M to $151MMar 30, 2020 to Mar 29, 2021
- RAUM · $218M to $151MMar 30, 2020 to Mar 29, 2021
- Assets in custody · $205M to $138MMar 29, 2021 to Mar 29, 2021
- Advisory employees · 6 to 5Mar 31, 2019 to Mar 30, 2020
- Assets in custody · $229M to $205MMar 31, 2019 to Mar 30, 2020
- Employees · 6 to 5Mar 31, 2019 to Mar 30, 2020
- Discretionary RAUM · $229M to $205MMar 31, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $16.9M to $12.2MMar 31, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $246M to $218MMar 31, 2019 to Mar 30, 2020
- RAUM · $246M to $218MMar 31, 2019 to Mar 30, 2020
- Advisory employees · 8 to 6Mar 31, 2018 to Mar 31, 2019
- Assets in custody · $276M to $229MMar 31, 2018 to Mar 31, 2019
- Employees · 9 to 6Mar 31, 2018 to Mar 31, 2019
- Discretionary RAUM · $276M to $229MMar 31, 2018 to Mar 31, 2019
- Non-discretionary RAUM · $13.1M to $16.9MMar 31, 2018 to Mar 31, 2019
- Pooled vehicle RAUM · $289M to $246MMar 31, 2018 to Mar 31, 2019
- RAUM · $289M to $246MMar 31, 2018 to Mar 31, 2019
- Accounts · 4 to 3Mar 31, 2017 to Mar 31, 2018
- Pooled vehicle clients · unset to 3.0Mar 31, 2017 to Mar 31, 2018
- Assets in custody · $298M to $276MMar 31, 2017 to Mar 31, 2018
- Employees · 8 to 9Mar 31, 2017 to Mar 31, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 31, 2018
- Private funds · 4 to 3Mar 31, 2017 to Mar 31, 2018
- Discretionary RAUM · $298M to $276MMar 31, 2017 to Mar 31, 2018
- Non-discretionary RAUM · $8.7M to $13.1MMar 31, 2017 to Mar 31, 2018
- Pooled vehicle RAUM · unset to 288924647.0Mar 31, 2017 to Mar 31, 2018
- RAUM · $307M to $289MMar 31, 2017 to Mar 31, 2018
- Assets in custody · $311M to $298MMar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $311M to $298MMar 30, 2016 to Mar 31, 2017
- Non-discretionary RAUM · $9.4M to $8.7MMar 30, 2016 to Mar 31, 2017
- RAUM · $320M to $307MMar 30, 2016 to Mar 31, 2017
- Advisory employees · 7 to 8Dec 21, 2015 to Mar 30, 2016
- Assets in custody · $395M to $311MDec 21, 2015 to Mar 30, 2016
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•••••••• I••••••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••••• I••••••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- C••••••••INV.COMreportedpublic record, Form ADV, Sep 18, 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
- 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