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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
A•••••••• I••••••••• I•••
Latest filing Mar 29, 2019
First filing on the tape Feb 13, 2012 · 17 filings
RAUM
$99.0M
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
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$87.4M gross assets
History
17 filings and snapshots on the tape
RAUM$99.0M as of Mar 29, 2019
Mar 5, 2013$254M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 5, 20130 then
Employees (5.A)2 as of Mar 29, 2019
Mar 5, 20132 then
Private funds1 as of Mar 29, 2019
Mar 5, 20131 then
RAUM -30% over the last fiscal year-17% 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
- $49.5MderivedRAUM 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
- -30%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 vehicles, otherreportedItem 5.G
- Custody
- $87.4M, 1 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
- 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.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$87.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $87.4M for 1 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• A•••••••• F•••• L••• | Hedge Fund | $87.4M | 63 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• C••••••••• E• •• O•••• · Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- M••••••• J•••• P•••••• · Presidentcontrolsince 07/1993 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 3 to 2Apr 14, 2018 to Mar 29, 2019
- Pooled vehicle clients · 2 to 1Apr 14, 2018 to Mar 29, 2019
- Assets in custody · $116M to $87.4MApr 14, 2018 to Mar 29, 2019
- Discretionary RAUM · $142M to $99.0MApr 14, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $129M to $87.4MApr 14, 2018 to Mar 29, 2019
- RAUM · $142M to $99.0MApr 14, 2018 to Mar 29, 2019
- Assets in custody · $115M to $116MFeb 2, 2018 to Apr 14, 2018
- Discretionary RAUM · $141M to $142MFeb 2, 2018 to Apr 14, 2018
- Pooled vehicle RAUM · $128M to $129MFeb 2, 2018 to Apr 14, 2018
- RAUM · $141M to $142MFeb 2, 2018 to Apr 14, 2018
- Advisory activities · 3 to 2Sep 27, 2017 to Feb 2, 2018
- Pooled vehicle clients · unset to 2.0Sep 27, 2017 to Feb 2, 2018
- Assets in custody · $111M to $115MSep 27, 2017 to Feb 2, 2018
- HQ city · PORTLAND to unsetSep 27, 2017 to Feb 2, 2018
- HQ state · ME to unsetSep 27, 2017 to Feb 2, 2018
- Other offices · unset to 1.0Sep 27, 2017 to Feb 2, 2018
- Discretionary RAUM · $133M to $141MSep 27, 2017 to Feb 2, 2018
- Pooled vehicle RAUM · unset to 128428998.0Sep 27, 2017 to Feb 2, 2018
- RAUM · $133M to $141MSep 27, 2017 to Feb 2, 2018
- Assets in custody · $120M to $111MMar 30, 2016 to Mar 30, 2017
- Discretionary RAUM · $173M to $133MMar 30, 2016 to Mar 30, 2017
- RAUM · $173M to $133MMar 30, 2016 to Mar 30, 2017
- Accounts · 4 to 3Mar 30, 2015 to Mar 30, 2016
- Assets in custody · $147M to $120MMar 30, 2015 to Mar 30, 2016
- Discretionary RAUM · $243M to $173MMar 30, 2015 to Mar 30, 2016
- RAUM · $243M to $173MMar 30, 2015 to Mar 30, 2016
- Accounts · 3 to 4Mar 14, 2014 to Mar 30, 2015
- Assets in custody · $173M to $147MMar 14, 2014 to Mar 30, 2015
- Discretionary RAUM · $262M to $243MMar 14, 2014 to Mar 30, 2015
- RAUM · $262M to $243MMar 14, 2014 to Mar 30, 2015
- Advisory employees · 2 to 1Sep 24, 2013 to Mar 14, 2014
- Assets in custody · $176M to $173MSep 24, 2013 to Mar 14, 2014
- Discretionary RAUM · $254M to $262MSep 24, 2013 to Mar 14, 2014
- RAUM · $254M to $262MSep 24, 2013 to Mar 14, 2014
- Advisory employees · unset to 2.0May 17, 2012 to Mar 5, 2013
- BD registered reps · unset to 0.0May 17, 2012 to Mar 5, 2013
- Assets in custody · $168M to $176MMay 17, 2012 to Mar 5, 2013
- Employees · unset to 2.0May 17, 2012 to Mar 5, 2013
- State-registered IARs · unset to 0.0May 17, 2012 to Mar 5, 2013
- Discretionary RAUM · $207M to $254MMay 17, 2012 to Mar 5, 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