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•••••• C•••••• P•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 156426SEC 801-73939IAPD
Latest filing Jun 24, 2015
First filing on the tape Feb 14, 2012 · 10 filings
RAUM
$267M
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
n/a
beyond the principal office
Private funds
3
$267M gross assets
History
10 filings and snapshots on the tape
RAUM$221M as of Mar 31, 2015
Apr 1, 2013$276M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)4 as of Mar 31, 2015
Apr 1, 20137 then
Private funds3 as of Mar 31, 2015
Apr 1, 20133 then
RAUM +7.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2015; 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
$66.7MderivedRAUM 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
-11%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
$187M, 4 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)
  • 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
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$187M for 4 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••• P•••• I••• L•Private Equity Fund$254M35Feb 14, 2012
      L•••• P•••• I•• P•••••••• L•Private Equity Fund$8.2M2Feb 14, 2012
      L•••• P•••• I•• S••••• P•••••••• L•Private Equity Fund$4.9M2Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • O•••••• G••••• · Managing Membercontrol
        since 03/2003 · owns 25% to 50%
      • S••••••• J•••• S•••• · Managing Membercontrol
        since 03/2003 · owns 50% to 75%
      • R••••• L•••••• · Chief Compliance Officer
        since 12/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • L•••• P•••• 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 · $195M to $187M
        Mar 31, 2015 to Jun 1, 2015
      • Discretionary RAUM · $221M to $267M
        Mar 31, 2015 to Jun 1, 2015
      • RAUM · $221M to $267M
        Mar 31, 2015 to Jun 1, 2015
      • Advisory employees · 3 to 2
        May 1, 2014 to Mar 31, 2015
      • Assets in custody · $169M to $195M
        May 1, 2014 to Mar 31, 2015
      • Employees · 5 to 4
        May 1, 2014 to Mar 31, 2015
      • Discretionary RAUM · $249M to $221M
        May 1, 2014 to Mar 31, 2015
      • RAUM · $249M to $221M
        May 1, 2014 to Mar 31, 2015
      • Advisory employees · 5 to 3
        Apr 30, 2013 to Mar 28, 2014
      • Assets in custody · $203M to $169M
        Apr 30, 2013 to Mar 28, 2014
      • Employees · 7 to 5
        Apr 30, 2013 to Mar 28, 2014
      • Discretionary RAUM · $283M to $249M
        Apr 30, 2013 to Mar 28, 2014
      • RAUM · $283M to $249M
        Apr 30, 2013 to Mar 28, 2014
      • Assets in custody · $230M to $203M
        Apr 1, 2013 to Apr 30, 2013
      • Discretionary RAUM · $276M to $283M
        Apr 1, 2013 to Apr 30, 2013
      • RAUM · $276M to $283M
        Apr 1, 2013 to Apr 30, 2013
      • Advisory employees · 8 to 5
        Dec 6, 2012 to Apr 1, 2013
      • Assets in custody · $294M to $230M
        Dec 6, 2012 to Apr 1, 2013
      • Employees · 10 to 7
        Dec 6, 2012 to Apr 1, 2013
      • Discretionary RAUM · $339M to $276M
        Dec 6, 2012 to Apr 1, 2013
      • RAUM · $339M to $276M
        Dec 6, 2012 to Apr 1, 2013
      • Advisory employees · unset to 8.0
        May 4, 2012 to Dec 6, 2012
      • BD registered reps · unset to 0.0
        May 4, 2012 to Dec 6, 2012
      • Employees · unset to 10.0
        May 4, 2012 to Dec 6, 2012
      • State-registered IARs · unset to 0.0
        May 4, 2012 to Dec 6, 2012
      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