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
I•••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2015
First filing on the tape Feb 14, 2012 · 5 filings
RAUM
$320M
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
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$320M gross assets
History
5 filings and snapshots on the tape
RAUM$320M as of Mar 30, 2015
Feb 19, 2013$325M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Feb 19, 20130 then
Employees (5.A)4 as of Mar 30, 2015
Feb 19, 20133 then
Private funds2 as of Mar 30, 2015
Feb 19, 20134 then
RAUM -34% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $80.1MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -34%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
- $237M, 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
- 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)
- 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
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $237M 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••• M••••• F•••• L• | Hedge Fund | $277M | 86 | Feb 14, 2012 |
| I•••••• Q• F•••• L•no longer reported | Hedge Fund | $260M | 200 | Feb 19, 2013 |
| I•••••• O••••••• F•••• L••no longer reported | Hedge Fund | $96.0M | 100 | Feb 19, 2013 |
| I•••••• F•••• L•• | Hedge Fund | $43.5M | 31 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- W•••••• G••••••• A•••• · Ceocontrolsince 01/2008 · owns 75% or more
- C••••••• D••••• · Coo/Ccosince 10/2008 · owns less than 5%
Entity owners
- I•••••• C•••••• G••••• L•• · Sole Member Of Managerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 3 to 4Mar 26, 2014 to Mar 30, 2015
- Assets in custody · $335M to $237MMar 26, 2014 to Mar 30, 2015
- Financial planning clients · 1-10 to 0Mar 26, 2014 to Mar 30, 2015
- Discretionary RAUM · $483M to $320MMar 26, 2014 to Mar 30, 2015
- RAUM · $483M to $320MMar 26, 2014 to Mar 30, 2015
- Advisory employees · 3 to 4Feb 21, 2013 to Mar 26, 2014
- Employees · 3 to 4Feb 21, 2013 to Mar 26, 2014
- Discretionary RAUM · $440M to $483MFeb 21, 2013 to Mar 26, 2014
- RAUM · $440M to $483MFeb 21, 2013 to Mar 26, 2014
- Assets in custody · $325M to $335MFeb 19, 2013 to Feb 21, 2013
- Private funds · 4 to 2Feb 19, 2013 to Feb 21, 2013
- Discretionary RAUM · $325M to $440MFeb 19, 2013 to Feb 21, 2013
- RAUM · $325M to $440MFeb 19, 2013 to Feb 21, 2013
- Accounts · 2 to 3Feb 14, 2012 to Feb 19, 2013
- Advisory employees · unset to 3.0Feb 14, 2012 to Feb 19, 2013
- Advisory activities · 2 to 1Feb 14, 2012 to Feb 19, 2013
- BD registered reps · unset to 0.0Feb 14, 2012 to Feb 19, 2013
- Assets in custody · $80.0M to $325MFeb 14, 2012 to Feb 19, 2013
- Employees · unset to 3.0Feb 14, 2012 to Feb 19, 2013
- State-registered IARs · unset to 0.0Feb 14, 2012 to Feb 19, 2013
- Private funds · 2 to 4Feb 14, 2012 to Feb 19, 2013
- Discretionary RAUM · $285M to $325MFeb 14, 2012 to Feb 19, 2013
- RAUM · $285M to $325MFeb 14, 2012 to Feb 19, 2013
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