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

D•••••• C•••••• M••••••••• L••••••

Former SEC-registered adviserSt. Helier, CRD 156650SEC 801-73856IAPD
Latest filing Mar 29, 2019
First filing on the tape Feb 14, 2012 · 14 filings
RAUM
$59.1M
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
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$59.1M gross assets
History
14 filings and snapshots on the tape
RAUM$59.1M as of Mar 29, 2019
Mar 28, 2013$841M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)8 as of Mar 29, 2019
Mar 28, 201320 then
Private funds1 as of Mar 29, 2019
Mar 28, 20133 then
RAUM -87% over the last fiscal year-52% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$59.1MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-87%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
yesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$59.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      D•••••• O••••••• F••• I• L•••no longer reportedHedge Fund$249M3Feb 14, 2012
      D•••••• O••••••• F••• L•••Hedge Fund$22.9M21Feb 14, 2012
      D•••••• D••••••• F••• L•••Hedge Fund$18.4M8Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• M•••• M•••••• · Directorcontrol
        since 03/2016 · owns less than 5%
      • H••••• C••••••• •••• · Director/Portfolio Managercontrol
        since 04/2008 · owns 75% or more
      • H••••••• L••••• •••• · Directorcontrol
        since 12/2014 · owns less than 5%
      • P•••••• D••••• •••• · Chief Compliance Officercontrol
        since 08/2012 · owns less than 5%
      • W•••• A•••••• S•••••• · Chief Operating Officercontrol
        since 06/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      • D•••••• C•••••• M••••••••• L••
        banky
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 6 to 3
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 2 to 1
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 14 to 8
        Mar 29, 2018 to Mar 29, 2019
      • Private funds · 2 to 1
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $456M to $59.1M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $456M to $59.1M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $456M to $59.1M
        Mar 29, 2018 to Mar 29, 2019
      • Related adviser · true to false
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 3 to 2
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 8 to 6
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 16 to 14
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Private funds · 3 to 2
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.2B to $456M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 456322753.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $1.2B to $456M
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 15 to 16
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $527M to $1.2B
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $527M to $1.2B
        Mar 30, 2016 to Mar 30, 2017
      • Advisory employees · 7 to 8
        Jul 15, 2015 to Mar 30, 2016
      • Employees · 17 to 15
        Jul 15, 2015 to Mar 30, 2016
      • Discretionary RAUM · $663M to $527M
        Jul 15, 2015 to Mar 30, 2016
      • RAUM · $663M to $527M
        Jul 15, 2015 to Mar 30, 2016
      • Related adviser · false to true
        Jul 15, 2015 to Mar 30, 2016
      • Advisory employees · 8 to 7
        Mar 31, 2015 to Jul 15, 2015
      • Employees · 16 to 17
        Mar 31, 2015 to Jul 15, 2015
      • Discretionary RAUM · $404M to $663M
        Mar 31, 2015 to Jul 15, 2015
      • RAUM · $404M to $663M
        Mar 31, 2015 to Jul 15, 2015
      • Advisory employees · 12 to 8
        May 6, 2014 to Mar 31, 2015
      • Employees · 19 to 16
        May 6, 2014 to Mar 31, 2015
      • Discretionary RAUM · $933M to $404M
        May 6, 2014 to Mar 31, 2015
      • RAUM · $933M to $404M
        May 6, 2014 to Mar 31, 2015
      • Employees · 20 to 19
        Jun 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $841M to $933M
        Jun 28, 2013 to Mar 28, 2014
      • RAUM · $841M to $933M
        Jun 28, 2013 to Mar 28, 2014
      • Advisory employees · unset to 12.0
        Sep 11, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Sep 11, 2012 to Mar 28, 2013
      • Assets in custody · unset to 0.0
        Sep 11, 2012 to Mar 28, 2013
      Signals
      2 dated events
      • D•••••• C•••••• M••••••••• L•••••• reported RAUM $59.1M, down 87% from $456.3M (2018-03-29 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • D•••••• C•••••• M••••••••• L•••••• reported RAUM $456.3M, down 63% from $1.2B (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      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