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

P••• S••••• A••••••••• A•••• M••••••••• L•

Former SEC-registered adviserNew York City, New YorkCRD 156526SEC 801-72629IAPD
Latest filing Mar 21, 2019
First filing on the tape Jul 18, 2013 · 13 filings
RAUM
$103M
reported, Item 5.F
Discretionary
0.0%
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
0
beyond the principal office
Private funds
1
$103M gross assets
History
13 filings and snapshots on the tape
RAUM$103M as of Mar 21, 2019
Mar 26, 2014$207M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2019
Mar 26, 20140 then
Employees (5.A)4 as of Mar 21, 2019
Mar 26, 20145 then
Private funds1 as of Mar 21, 2019
Mar 26, 20142 then
RAUM -0.4% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2019; 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
0.0%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
-0.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • 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
  • Pooled investment vehicles$103M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      N••••••••• S••••• E••••• A••••••••• F•••• I•••• L••Hedge Fund$103M3Nov 20, 2013
      L••••••• P••••••• ••••no longer reportedHedge Fund$4.9M2Jan 14, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• L•••••• P•••••• · Partnercontrol
        since 01/2011 · owns 25% to 50%
      • K••••• V•••• · Partnercontrol
        since 01/2011 · owns 25% to 50%
      • L••• C•••••• Y••••• · Partner, Chief Compliance Officercontrol
        since 01/2011 · owns 25% to 50%
      • M•••••• B••••• P••••• · Partnercontrol
        since 01/2011 · owns 25% to 50%
      Entity owners
      • P••• S••••• A••••••••• A•••• M••••••••• ••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • P••• S••••• E••••••• M•••••• I• G•••• L•
        n
      • P••• S••••• E••••••• M•••••• I• G••••• L••
        n
      • P••• S••••• E••••••• M•••••• I• M••• L••
        pooled vehicle sponsorn
      • P••• S••••• E••••••• M•••••• I• M•••• L••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $103M to $103M
        Mar 22, 2018 to Mar 21, 2019
      • Pooled vehicle RAUM · $103M to $103M
        Mar 22, 2018 to Mar 21, 2019
      • RAUM · $103M to $103M
        Mar 22, 2018 to Mar 21, 2019
      • Pooled vehicle clients · unset to 1.0
        Jun 10, 2017 to Mar 22, 2018
      • Other offices · unset to 0.0
        Jun 10, 2017 to Mar 22, 2018
      • Non-discretionary RAUM · $170M to $103M
        Jun 10, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 103281042.0
        Jun 10, 2017 to Mar 22, 2018
      • RAUM · $170M to $103M
        Jun 10, 2017 to Mar 22, 2018
      • Assets in custody · $275M to $0
        Mar 11, 2016 to Mar 27, 2017
      • Custody of client assets · true to false
        Mar 11, 2016 to Mar 27, 2017
      • Non-discretionary RAUM · $275M to $170M
        Mar 11, 2016 to Mar 27, 2017
      • RAUM · $275M to $170M
        Mar 11, 2016 to Mar 27, 2017
      • Related adviser · true to false
        Mar 11, 2016 to Mar 27, 2017
      • Advisory employees · 5 to 4
        Mar 18, 2015 to Mar 11, 2016
      • Assets in custody · $99.9M to $275M
        Mar 18, 2015 to Mar 11, 2016
      • Employees · 5 to 4
        Mar 18, 2015 to Mar 11, 2016
      • Non-discretionary RAUM · $207M to $275M
        Mar 18, 2015 to Mar 11, 2016
      • RAUM · $207M to $275M
        Mar 18, 2015 to Mar 11, 2016
      • Assets in custody · $0 to $99.9M
        Apr 22, 2014 to Mar 18, 2015
      • Non-discretionary RAUM · $202M to $207M
        Apr 22, 2014 to Mar 18, 2015
      • RAUM · $202M to $207M
        Apr 22, 2014 to Mar 18, 2015
      • Accounts · 2 to 1
        Mar 26, 2014 to Apr 22, 2014
      • Private funds · 2 to 1
        Mar 26, 2014 to Apr 22, 2014
      • Non-discretionary RAUM · $207M to $202M
        Mar 26, 2014 to Apr 22, 2014
      • RAUM · $207M to $202M
        Mar 26, 2014 to Apr 22, 2014
      • Accounts · 3 to 2
        Jan 14, 2014 to Mar 26, 2014
      • Accounts · 1 to 3
        Nov 22, 2013 to Jan 14, 2014
      • Private funds · 1 to 2
        Nov 22, 2013 to Jan 14, 2014
      • Non-discretionary RAUM · $202M to $207M
        Nov 22, 2013 to Jan 14, 2014
      • RAUM · $202M to $207M
        Nov 22, 2013 to Jan 14, 2014
      • Succession · true to false
        Nov 22, 2013 to Jan 14, 2014
      • Business name · P••• S••••• A••••••••• A•••• M••••••••• L•• to P••• S••••• A••••••••• A•••• M••••••••• L•
        Nov 20, 2013 to Nov 22, 2013
      • Legal name · P••• S••••• A••••••••• A•••• M••••••••• L•• to P••• S••••• A••••••••• A•••• M••••••••• L•
        Nov 20, 2013 to Nov 22, 2013
      • Succession · false to true
        Nov 22, 2013 to Nov 22, 2013
      • Accounts · unset to 1.0
        Jul 18, 2013 to Nov 20, 2013
      • Assets in custody · unset to 0.0
        Jul 18, 2013 to Nov 20, 2013
      • Custody of client assets · false to true
        Jul 18, 2013 to Nov 20, 2013
      • Organization form · Limited Liability Company to Limited Partnership
        Jul 18, 2013 to Nov 20, 2013
      • Private funds · unset to 1
        Jul 18, 2013 to Nov 20, 2013
      • Discretionary RAUM · unset to 0.0
        Jul 18, 2013 to Nov 20, 2013
      Signals
      1 dated events
      • P••• S••••• A••••••••• A•••• M••••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Nov 22, 2013 · Succession (Item 4) · fact
      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