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

N•••••• P••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 156319SEC 801-73604IAPD
Latest filing Mar 28, 2023
First filing on the tape Feb 14, 2012 · 24 filings
RAUM
$5.2B
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
20
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
15
$8.1B gross assets
History
24 filings and snapshots on the tape
RAUM$5.2B as of Mar 28, 2023
Feb 27, 2013$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2023
Feb 27, 20130 then
Employees (5.A)20 as of Mar 28, 2023
Feb 27, 201318 then
Private funds15 as of Mar 28, 2023
Feb 27, 20136 then
RAUM -5.8% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2023; 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
$346MderivedRAUM 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
-5.8%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$3.4B, 15 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$5.2B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
15reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.4B for 15 clientsreported
Compensation
% of AUM, fixed, 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
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N•••••• E••••• P••••••• V• ••••••• L•••Other Private Fund$1.2B66Mar 30, 2020
      N•••••• E••••• P••••••• I• ••••••• L•••Other Private Fund$734M37Mar 16, 2018
      N•••••• E••••• P••••••• I•• L•••Other Private Fund$581M41Mar 27, 2014
      N•••••• E••••• P••••••• V• •••••••• L•••Other Private Fund$176M2Mar 11, 2021
      N•••••• E••••• P••••••• I•• ••••••• L•••Other Private Fund$153M20Mar 27, 2014
      N•••••• E••••• P••••••• I•••• L•••Other Private Fund$42.9M1Mar 11, 2015
      N•••••• E••••• P••••••• I• ••••••• L•••Other Private Fund$36.3M37Feb 14, 2012
      N•••••• E••••• P••••••• ••••••• L•••Other Private Fund$4.9M13Feb 14, 2012
      N•••••• E••••• P••••••• I• G••• • C•• K•Other Private Fund$3.3M4Feb 14, 2012
      N•••••• E••••• P••••••• G••• • C•• K•Other Private Fund$825,0336Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E•••••••• G•••••• L•••• · Partner/Chief Financial Officer/Chief Compliance Officercontrol
        since 07/2011 · owns less than 5%
      • J•••••• C••••••••• D•••• · Partnercontrol
        since 01/2009 · owns less than 5%
      • L••••••• R••••••• C•••• · Managercontrol
        since 09/2006 · owns 50% to 75%
      • M•••••• T•••••• I•••• · Managing Directorcontrol
        since 01/2017 · owns less than 5%
      • S••••• W•••••• B•••• · Partnercontrol
        since 07/2012 · owns less than 5%
      • D••••• D•••••• G••••• · Shareholdercontrol
        since 01/2020 · owns 25% to 50% of W••••••••• M••••••••• L••
      • D••••• D••••••• L•• · Shareholdercontrol
        since 01/2020 · owns 25% to 50% of W••••••••• M••••••••• L••
      • D••••• R••••••• M••••• · Shareholdercontrol
        since 01/2020 · owns 25% to 50% of W••••••••• M••••••••• L••
      • D••••• S••••••• C••••• · Shareholdercontrol
        since 01/2020 · owns 25% to 50% of W••••••••• M••••••••• L••
      Entity owners
      • C•• 8•• H•••••••• L•• · Member
        indirect · owns 25% to 50% of 8•• I•••••••• I•• L••
      • D••••• G• D•••• 8•• T•••• U••••• 8•••••••• · Member
        indirect · owns 25% to 50% of D•• 8•• H•••••••• L••
      • D•• 8•• H•••••••• L•• · Member
        indirect · owns 25% to 50% of 8•• I•••••••• I•• L••
      • D•• 8•• H•••••••• L•• · Member
        indirect · owns 25% to 50% of 8•• I•••••••• I•• L••
      • D•••••• L• D•••• 8•• T•••• U••••• 8•••••••• · Member
        indirect · owns 25% to 50% of D•• 8•• H•••••••• L••
      • G• 8•• H•••••••• L•• · Member
        indirect · owns 25% to 50% of 8•• I•••••••• I•• L••
      • S•••••• C• D•••• 8•• T•••• U•••• 8•••••••• · Member
        indirect · owns 25% to 50% of C•• 8•• H•••••••• L••
      • W••••••••• M••••••••• L•• · Member
        indirect · owns 75% or more of O••••• A••••• P•••••• C••••••• L••
      • R•• N•••••••• L•• · Member
        direct · owns 25% to 50%
      • 8•• I•••••••• I•• L•• · Limited Partner
        indirect · owns 25% to 50% of R•••••••• P•••••••• L•
      • A••••• C•••••• L•• · Member
        indirect · owns 50% to 75% of R•••••••• P••••••• G• L••
      • N•• Y••• L••• I•••••••• C•••••• · Limited Partner
        indirect · owns 25% to 50% of R•••••••• P•••••••• L• · public reporting company
      • N•• Y••• L••• I•••••••• C•••••• · Member
        indirect · owns 75% or more of N•• Y••• L••• I••••••••• M••••••••• H••••••• L•• · public reporting company
      • N•• Y••• L••• I••••••••• M••••••••• H••••••• L•• · Member
        indirect · owns 75% or more of A••••• C•••••• L••
      • O••••• A••••• P•••••• C••••••• L•• · Member
        indirect · owns 50% to 75% of R•••••••• P••••••• G• L••
      • R•••••••• P••••••• G• L•• · General Partner
        indirect · owns F of R•••••••• P•••••••• L•
      • R•••••••• P•••••••• L• · Sole Member
        indirect · owns 75% or more of R•• N•••••••• L••
      • W••••••••• H•••••••• I••• · Trustee
        indirect · owns F of D••••• G• D•••• 8•• T•••• U••••• 8••••••••
      • W••••••••• H•••••••• I••• · Trustee
        indirect · owns F of D•••••• L• D•••• 8•• T•••• U••••• 8••••••••
      • W••••••••• H•••••••• I••• · Trustee
        indirect · owns F of S•••••• C• D•••• 8•• T•••• U•••• 8••••••••
      Related persons
      Schedule D 7.A
      • N•••••• E••••• P••••••• G• L•••
        pooled vehicle sponsorn
      • N•••••• E••••• P••••••• G• L••
        pooled vehicle sponsorn
      • N•••••• E••••• P••••••• I• G• L•••
        pooled vehicle sponsorn
      • N•••••• E••••• P••••••• I• G• L••
        pooled vehicle sponsorn
      • N•••••• E••••• P••••••• I•• G• L••
        pooled vehicle sponsorn
      • N•••••• E••••• P••••••• I•• G• L•
        pooled vehicle sponsorn
      • N•••••• E••••• P••••••• I• G• L••
        pooled vehicle sponsorn
      • N•••••• E••••• P••••••• I• G• L•
        pooled vehicle sponsorn
      • N•••••• E••••• P••••••• V• G• L••
        pooled vehicle sponsorn
      • N•••••• E••••• P••••••• V• G• L•
        pooled vehicle sponsorn
      • N•••••• E••••• P••••••• V••••••••• G•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 14 to 13
        Apr 4, 2022 to Mar 28, 2023
      • Assets in custody · $2.0B to $3.4B
        Apr 4, 2022 to Mar 28, 2023
      • Employees · 21 to 20
        Apr 4, 2022 to Mar 28, 2023
      • Discretionary RAUM · $5.5B to $5.2B
        Apr 4, 2022 to Mar 28, 2023
      • Pooled vehicle RAUM · $5.5B to $5.2B
        Apr 4, 2022 to Mar 28, 2023
      • RAUM · $5.5B to $5.2B
        Apr 4, 2022 to Mar 28, 2023
      • Advisory employees · 16 to 14
        Nov 4, 2021 to Mar 29, 2022
      • Employees · 22 to 21
        Nov 4, 2021 to Mar 29, 2022
      • Discretionary RAUM · $4.3B to $5.5B
        Nov 4, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $4.3B to $5.5B
        Nov 4, 2021 to Mar 29, 2022
      • RAUM · $4.3B to $5.5B
        Nov 4, 2021 to Mar 29, 2022
      • Accounts · 14 to 15
        Oct 16, 2020 to Mar 11, 2021
      • Advisory employees · 15 to 16
        Oct 16, 2020 to Mar 11, 2021
      • Business name · N•••••• A••••••••• L•• to N•••••• P••••••• L••
        Oct 16, 2020 to Mar 11, 2021
      • Pooled vehicle clients · 14 to 15
        Oct 16, 2020 to Mar 11, 2021
      • Assets in custody · $1.8B to $2.0B
        Oct 16, 2020 to Mar 11, 2021
      • Employees · 21 to 22
        Oct 16, 2020 to Mar 11, 2021
      • Legal name · N•••••• A••••••••• L•• to N•••••• P••••••• L••
        Oct 16, 2020 to Mar 11, 2021
      • Private funds · 14 to 15
        Oct 16, 2020 to Mar 11, 2021
      • Discretionary RAUM · $3.8B to $4.3B
        Oct 16, 2020 to Mar 11, 2021
      • Pooled vehicle RAUM · $3.8B to $4.3B
        Oct 16, 2020 to Mar 11, 2021
      • RAUM · $3.8B to $4.3B
        Oct 16, 2020 to Mar 11, 2021
      • Accounts · 12 to 14
        Mar 22, 2019 to Mar 30, 2020
      • Advisory employees · 13 to 15
        Mar 22, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 12 to 14
        Mar 22, 2019 to Mar 30, 2020
      • Assets in custody · $1.6B to $1.8B
        Mar 22, 2019 to Mar 30, 2020
      • Employees · 19 to 21
        Mar 22, 2019 to Mar 30, 2020
      • Private funds · 12 to 14
        Mar 22, 2019 to Mar 30, 2020
      • Discretionary RAUM · $3.3B to $3.8B
        Mar 22, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $3.3B to $3.8B
        Mar 22, 2019 to Mar 30, 2020
      • RAUM · $3.3B to $3.8B
        Mar 22, 2019 to Mar 30, 2020
      • Assets in custody · $1.5B to $1.6B
        Sep 10, 2018 to Mar 22, 2019
      • Employees · 18 to 19
        Sep 10, 2018 to Mar 22, 2019
      • Discretionary RAUM · $3.3B to $3.3B
        Sep 10, 2018 to Mar 22, 2019
      • Pooled vehicle RAUM · $3.3B to $3.3B
        Sep 10, 2018 to Mar 22, 2019
      • RAUM · $3.3B to $3.3B
        Sep 10, 2018 to Mar 22, 2019
      • Accounts · 10 to 12
        Mar 2, 2017 to Mar 16, 2018
      • Pooled vehicle clients · unset to 12.0
        Mar 2, 2017 to Mar 16, 2018
      • Assets in custody · $1.2B to $1.5B
        Mar 2, 2017 to Mar 16, 2018
      • Employees · 17 to 18
        Mar 2, 2017 to Mar 16, 2018
      Signals
      11 dated events
      • N•••••• P••••••• L•• reported RAUM $5.5B, up 28% from $4.3B (2021-11-04 to 2022-03-29)
        Mar 29, 2022 · RAUM change · derived
      • Nmn David Shyu (Director) no longer on Schedule A of N•••••• P••••••• L•• (listed 2020-10-16, absent 2021-03-11)
        Mar 11, 2021 · Control person left · inference
      • David Jay Heller (Trustee) no longer on Schedule A of N•••••• P••••••• L•• (listed 2020-03-30, absent 2020-10-16)
        Oct 16, 2020 · Control person left · inference
      • Stephen Scott Cowen (Trustee) no longer on Schedule A of N•••••• P••••••• L•• (listed 2020-03-30, absent 2020-10-16)
        Oct 16, 2020 · Control person left · inference
      • George Kenneth Hochman (Trustee) no longer on Schedule A of N•••••• P••••••• L•• (listed 2020-03-30, absent 2020-10-16)
        Oct 16, 2020 · Control person left · inference
      • David Stuart Neidus (Trustee) no longer on Schedule A of N•••••• P••••••• L•• (listed 2020-03-30, absent 2020-10-16)
        Oct 16, 2020 · Control person left · inference
      • Edward Peter Raskind (Trustee) no longer on Schedule A of N•••••• P••••••• L•• (listed 2020-03-30, absent 2020-10-16)
        Oct 16, 2020 · Control person left · inference
      • Allen Michael Ritter (Trustee) no longer on Schedule A of N•••••• P••••••• L•• (listed 2020-03-30, absent 2020-10-16)
        Oct 16, 2020 · Control person left · inference
      • Sue Jerry Thornton (Trustee) no longer on Schedule A of N•••••• P••••••• L•• (listed 2020-03-30, absent 2020-10-16)
        Oct 16, 2020 · Control person left · inference
      • Leon Morton Mandel (Sole Member) no longer on Schedule A of N•••••• P••••••• L•• (listed 2019-03-22, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • N•••••• P••••••• L•• reported RAUM $3.3B, up 64% from $2.0B (2017-03-02 to 2018-03-16)
        Mar 16, 2018 · 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.
      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