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

S••••• C•••••• I••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 156478SEC 801-73971IAPD
Latest filing Mar 29, 2016
First filing on the tape Feb 14, 2012 · 9 filings
RAUM
$309M
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
$366M gross assets
History
9 filings and snapshots on the tape
RAUM$309M as of Mar 29, 2016
Apr 1, 2013$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Apr 1, 20130 then
Employees (5.A)4 as of Mar 29, 2016
Apr 1, 201314 then
Private funds3 as of Mar 29, 2016
Apr 1, 20136 then
RAUM -44% over the last fiscal year-36% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$103MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-44%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
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)
  • 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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• C••••••• L•••Hedge Fund$245M12Feb 14, 2012
      S•• B••••••• T••••no longer reportedHedge Fund$114M2Feb 14, 2012
      S••••• C•••••• I••••••••• M••••• F•••• L•••Hedge Fund$62.0M2Feb 14, 2012
      S••••• C•••••• I••••••••• L•••Hedge Fund$58.7M1Feb 14, 2012
      S••••• C•••••• I••••••••• L••• L•••no longer reportedHedge Fund$34.6M139Feb 14, 2012
      S••••• C•••••• I••••••••• S••• L•••no longer reportedHedge Fund$33.3M138Feb 14, 2012
      S••••• C•••••• S••• L•no longer reportedHedge Fund$17.3M204Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• D••••••• A••••• · Managing Member Of General Partner/Foundercontrol
        since 01/1996 · owns 75% or more
      • S•••••••• J•••••••• B•••• · Limited Partnercontrol
        since 01/2015 · owns 25% to 50%
      • H•••••• D••••••• A••••• · Managing Membercontrol
        since 12/2005 · owns F of S••••• C•••••• I••••••••• L••
      • A••••••••• M••••••• R•••• · Chief Compliance Officer
        since 12/2015 · owns less than 5%
      Entity owners
      • S••••• C•••••• I••••••••• L•• · General Partner
        direct · owns 5% to 10%
      • D•••••• A• H••••• 2••• F••••• T•••• · Member
        indirect · owns 75% or more of S••••• C•••••• I••••••••• L••
      Related persons
      Schedule D 7.A
      • S••••• C•••••• A•••••••• L••••• ••••••• A•••••••
        investment adviserbankpooled vehicle sponsorn
      • S••••• C•••••• I••••••••• G•• L•• ••••••• A•••••••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Hicksville, NY
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 2
        Mar 31, 2015 to Mar 29, 2016
      • Assets in custody · unset to 308816501.0
        Mar 31, 2015 to Mar 29, 2016
      • Employees · 15 to 4
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $556M to $309M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $556M to $309M
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 6 to 3
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 7
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · 0.0 to unset
        Mar 31, 2014 to Mar 31, 2015
      • Custody of client assets · true to false
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 6 to 3
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $723M to $556M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $723M to $556M
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 14 to 15
        Dec 4, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.2B to $723M
        Dec 4, 2013 to Mar 31, 2014
      • RAUM · $1.2B to $723M
        Dec 4, 2013 to Mar 31, 2014
      • Advisory employees · 13 to 6
        Jan 15, 2013 to Apr 1, 2013
      • Assets in custody · $2.4B to $0
        Jan 15, 2013 to Apr 1, 2013
      • Employees · 24 to 14
        Jan 15, 2013 to Apr 1, 2013
      • Discretionary RAUM · $2.4B to $1.2B
        Jan 15, 2013 to Apr 1, 2013
      • RAUM · $2.4B to $1.2B
        Jan 15, 2013 to Apr 1, 2013
      • Advisory employees · unset to 13.0
        Apr 4, 2012 to Jan 15, 2013
      • BD registered reps · unset to 0.0
        Apr 4, 2012 to Jan 15, 2013
      • Employees · unset to 24.0
        Apr 4, 2012 to Jan 15, 2013
      • State-registered IARs · unset to 0.0
        Apr 4, 2012 to Jan 15, 2013
      • Accounts · 7 to 6
        Feb 14, 2012 to Apr 4, 2012
      • Assets in custody · $2.9B to $2.4B
        Feb 14, 2012 to Apr 4, 2012
      • Private funds · 7 to 6
        Feb 14, 2012 to Apr 4, 2012
      • Discretionary RAUM · $2.9B to $2.4B
        Feb 14, 2012 to Apr 4, 2012
      • RAUM · $2.9B to $2.4B
        Feb 14, 2012 to Apr 4, 2012
      Signals
      No event on the tape.
      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