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

T•••• T•••• P••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 156020SEC 801-72211IAPD
Latest filing Mar 27, 2020
First filing on the tape Mar 29, 2012 · 20 filings
RAUM
$170M
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
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$172M gross assets
History
20 filings and snapshots on the tape
RAUM$170M as of Mar 27, 2020
Mar 29, 2012$558M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 29, 20120 then
Employees (5.A)4 as of Mar 27, 2020
Apr 1, 20135 then
Private funds2 as of Mar 27, 2020
Mar 29, 20121 then
RAUM -30% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2020; 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
$85.1MderivedRAUM 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
-30%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
$170M, 2 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$170M100%
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
$170M for 2 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
      T•••• T•••• P••••••• F••• I• L•Private Equity Fund$136M11Aug 1, 2012
      T•••• T•••• P••••••• F••• I• L•Private Equity Fund$35.6M7Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• W••••••• D•••• · Managing Membercontrol
        since 11/2007 · owns 75% or more
      • S•••••• A•••••••• C••••• · Chief Compliance Officercontrol
        since 07/2018 · owns less than 5%
      • K••••••• P•••••• B• •• O•••• · Ownercontrol
        since 10/2007 · owns 75% or more of M••••• H•••••••• I•••
      Entity owners
      • M••••• H•••••••• I••• · Shareholder
        indirect · owns 75% or more of S••••••• I••••••••• I•••
      • S••••••• I••••••••• I••• · Minority Owner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • T•••• T•••• P••••••• F••• I• G•• L•
        pooled vehicle sponsorn
      • T•••• T•••• P••••••• F••• I• G•• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $229M to $170M
        Mar 29, 2019 to Mar 27, 2020
      • Discretionary RAUM · $242M to $170M
        Mar 29, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $242M to $170M
        Mar 29, 2019 to Mar 27, 2020
      • RAUM · $242M to $170M
        Mar 29, 2019 to Mar 27, 2020
      • Assets in custody · $170M to $229M
        Mar 28, 2019 to Mar 29, 2019
      • Advisory employees · 7 to 3
        Jul 24, 2018 to Mar 28, 2019
      • Employees · 8 to 4
        Jul 24, 2018 to Mar 28, 2019
      • State-registered IARs · 1 to 0
        Jul 24, 2018 to Mar 28, 2019
      • Discretionary RAUM · $220M to $242M
        Jul 24, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $220M to $242M
        Jul 24, 2018 to Mar 28, 2019
      • RAUM · $220M to $242M
        Jul 24, 2018 to Mar 28, 2019
      • Related adviser · true to false
        Jul 24, 2018 to Mar 28, 2019
      • Advisory employees · 8 to 7
        Feb 9, 2018 to Mar 28, 2018
      • Assets in custody · $173M to $170M
        Feb 9, 2018 to Mar 28, 2018
      • Employees · 9 to 8
        Feb 9, 2018 to Mar 28, 2018
      • Discretionary RAUM · $267M to $220M
        Feb 9, 2018 to Mar 28, 2018
      • Pooled vehicle RAUM · $267M to $220M
        Feb 9, 2018 to Mar 28, 2018
      • RAUM · $267M to $220M
        Feb 9, 2018 to Mar 28, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 30, 2017 to Dec 15, 2017
      • Assets in custody · $267M to $173M
        Mar 30, 2017 to Dec 15, 2017
      • State-registered IARs · 0 to 1
        Mar 30, 2017 to Dec 15, 2017
      • Other offices · unset to 0.0
        Mar 30, 2017 to Dec 15, 2017
      • Pooled vehicle RAUM · unset to 267374357.0
        Mar 30, 2017 to Dec 15, 2017
      • Assets in custody · $456M to $267M
        Apr 5, 2016 to Mar 30, 2017
      • Discretionary RAUM · $540M to $267M
        Apr 5, 2016 to Mar 30, 2017
      • RAUM · $540M to $267M
        Apr 5, 2016 to Mar 30, 2017
      • Advisory employees · 6 to 8
        Mar 31, 2015 to Mar 24, 2016
      • Assets in custody · $531M to $456M
        Mar 31, 2015 to Mar 24, 2016
      • Discretionary RAUM · $531M to $540M
        Mar 31, 2015 to Mar 24, 2016
      • RAUM · $531M to $540M
        Mar 31, 2015 to Mar 24, 2016
      • Advisory employees · 7 to 6
        Mar 27, 2014 to Mar 31, 2015
      • Assets in custody · $192M to $531M
        Mar 27, 2014 to Mar 31, 2015
      • State-registered IARs · 1 to 0
        Mar 27, 2014 to Mar 31, 2015
      • Discretionary RAUM · $413M to $531M
        Mar 27, 2014 to Mar 31, 2015
      • RAUM · $413M to $531M
        Mar 27, 2014 to Mar 31, 2015
      • Related adviser · false to true
        Mar 27, 2014 to Mar 31, 2015
      • Advisory employees · 2 to 7
        Jun 7, 2013 to Mar 27, 2014
      • Assets in custody · $427M to $192M
        Jun 7, 2013 to Mar 27, 2014
      • Employees · 5 to 9
        Jun 7, 2013 to Mar 27, 2014
      • Discretionary RAUM · $734M to $413M
        Jun 7, 2013 to Mar 27, 2014
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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