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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SEC-registered adviser
L••• P••• P••••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Feb 7, 2012 · 22 filings
SEC status approved since Feb 15, 2012
RAUM
$210M
reported, Item 5.F
Discretionary
48%
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$210M as of Mar 31, 2026
Mar 27, 2013$365M then
HNW client RAUM$5.6M as of Mar 29, 2023
Feb 8, 2021$2.8M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 27, 20130 then
Employees (5.A)3 as of Mar 31, 2026
Mar 27, 20134 then
Private funds1 as of Mar 31, 2026
Mar 27, 20132 then
RAUM +13% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $70.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 48%derivedof RAUM
- Institutional
- 52%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
- +13%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 businesses and institutions, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$110M52%
- Pooled investment vehicles$53.6M25%
- Other investment advisers$46.9M22%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.48 institutional_share=0.52 related_bd=false related_bank=false bd_reps=0.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••• P••• P••••••• F•••• L• | Hedge Fund | $34.5M | 9 | Feb 7, 2012 |
| L•• L••••• L•no longer reported | Hedge Fund | $11.5M | 2 | Feb 7, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• B••••• L•• · Founding Partner/Chief Investment Officercontrolsince 01/2010 · owns 75% or more
- B•••••• B••••• L•• · Managing Membercontrolsince 01/2010 · owns 75% or more of L••• P••• P••••••• L••
- A••••••• S•••••• E••••• · Chief Compliance Officer / Chief Financial Officersince 02/2017 · owns less than 5%
Entity owners
- L••• P••• P••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- L••• P••• P••••••• G• I• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $82.1M to $101MMar 27, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $104M to $110MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $42.9M to $53.6MMar 27, 2025 to Mar 31, 2026
- RAUM · $186M to $210MMar 27, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $68.5M to $82.1MMar 20, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $103M to $104MMar 20, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $34.5M to $42.9MMar 20, 2024 to Mar 27, 2025
- RAUM · $171M to $186MMar 20, 2024 to Mar 27, 2025
- Accounts · 4 to 3Mar 29, 2023 to Mar 20, 2024
- HNW clients · 1.0 to unsetMar 29, 2023 to Mar 20, 2024
- Discretionary RAUM · $60.4M to $68.5MMar 29, 2023 to Mar 20, 2024
- HNW RAUM · 5588019.0 to unsetMar 29, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $37.5M to $103MMar 29, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $30.6M to $34.5MMar 29, 2023 to Mar 20, 2024
- RAUM · $97.9M to $171MMar 29, 2023 to Mar 20, 2024
- Discretionary RAUM · $87.5M to $60.4MSep 27, 2022 to Mar 29, 2023
- HNW RAUM · $8.7M to $5.6MSep 27, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $49.4M to $37.5MSep 27, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $44.3M to $30.6MSep 27, 2022 to Mar 29, 2023
- RAUM · $137M to $97.9MSep 27, 2022 to Mar 29, 2023
- Discretionary RAUM · $84.8M to $87.5MFeb 8, 2021 to Mar 24, 2022
- HNW RAUM · $2.8M to $8.7MFeb 8, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $48.8M to $49.4MFeb 8, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $42.8M to $44.3MFeb 8, 2021 to Mar 24, 2022
- RAUM · $134M to $137MFeb 8, 2021 to Mar 24, 2022
- Accounts · 3 to 4Mar 30, 2020 to Feb 8, 2021
- HNW clients · unset to 1.0Mar 30, 2020 to Feb 8, 2021
- Discretionary RAUM · $74.0M to $84.8MMar 30, 2020 to Feb 8, 2021
- HNW RAUM · unset to 2781231.0Mar 30, 2020 to Feb 8, 2021
- Non-discretionary RAUM · $73.2M to $48.8MMar 30, 2020 to Feb 8, 2021
- Pooled vehicle RAUM · $37.9M to $42.8MMar 30, 2020 to Feb 8, 2021
- RAUM · $147M to $134MMar 30, 2020 to Feb 8, 2021
- Accounts · 2 to 3Jan 9, 2020 to Mar 30, 2020
- Charity clients · unset to 1.0Jan 9, 2020 to Mar 30, 2020
- Pooled vehicle clients · 2 to 1Jan 9, 2020 to Mar 30, 2020
- Organization form · Partnership to Limited PartnershipJan 9, 2020 to Mar 30, 2020
- Discretionary RAUM · $74.9M to $74.0MJan 9, 2020 to Mar 30, 2020
- Non-discretionary RAUM · $0 to $73.2MJan 9, 2020 to Mar 30, 2020
- Pooled vehicle RAUM · $74.9M to $37.9MJan 9, 2020 to Mar 30, 2020
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 646-430-8675reportedpublic record, Form ADV, Mar 31, 2026
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
- Other 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