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

H•••••• H••• C••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 156802SEC 801-72846IAPD
Latest filing Mar 29, 2018
First filing on the tape Nov 28, 2011 · 25 filings
RAUM
$11B
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
149
76 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
$11B gross assets
History
25 filings and snapshots on the tape
RAUM$11B as of Mar 29, 2018
Mar 30, 2012$5.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 30, 20120 then
Employees (5.A)149 as of Mar 29, 2018
Apr 1, 201393 then
Private funds1 as of Mar 29, 2018
Mar 30, 20121 then
RAUM -51% over the last fiscal year+7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$3.7BderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-51%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
$1.7B, 2 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • Pooled investment vehicles$11B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.7B for 2 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
      H•••••• H••• D••••••••• A•••• M••••• F••• L••Hedge Fund$11B286Nov 28, 2011
      H•••••• H••• L••••• C••••• T•••••• V•••••• L••no longer reportedHedge Fund$804M1Jun 29, 2012
      H•••••• H••• L••••• C••••• M••••• F••• L••no longer reportedHedge Fund$399M22Feb 27, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• N•••• A••••• · Managing Principal, Ceo, Cio And Limited Partnercontrol
        since 07/2007 · owns 50% to 75%
      • E••••••• M••••••• J••••• · Limited Partnercontrol
        since 02/2014 · owns 10% to 25%
      • K•••••• S••••• A••• · Chief Legal Officercontrol
        since 08/2014 · owns less than 5%
      • L••••••••• J•••••• •••• · Chief Financial Officercontrol
        since 04/2013 · owns less than 5%
      • M•••••••• R••••••• S•••• · Limited Partnercontrol
        since 10/2016 · owns 10% to 25%
      • M•••••••• J••••• M•••••• · Chief Compliance Officercontrol
        since 06/2011 · owns less than 5%
      • C•••••• N•••• A••••• · Managing Membercontrol
        since 07/2007 · owns 75% or more of H•••••• H••• C•••••• G•• L••
      • S••••• O•••• •••• · Limited Partner
        since 08/2012 · owns 10% to 25%
      Entity owners
      • H•••••• H••• C•••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 75 to 76
        Feb 8, 2018 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Feb 8, 2018 to Mar 29, 2018
      • Assets in custody · $2.4B to $1.7B
        Feb 8, 2018 to Mar 29, 2018
      • Employees · 166 to 149
        Feb 8, 2018 to Mar 29, 2018
      • Discretionary RAUM · $23B to $11B
        Feb 8, 2018 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 11092782801.0
        Feb 8, 2018 to Mar 29, 2018
      • RAUM · $23B to $11B
        Feb 8, 2018 to Mar 29, 2018
      • Other offices · unset to 3.0
        May 26, 2017 to Feb 8, 2018
      • Advisory employees · 70 to 75
        Nov 21, 2016 to Mar 31, 2017
      • Assets in custody · $2.9B to $2.4B
        Nov 21, 2016 to Mar 31, 2017
      • Employees · 154 to 166
        Nov 21, 2016 to Mar 31, 2017
      • Discretionary RAUM · $16B to $23B
        Nov 21, 2016 to Mar 31, 2017
      • RAUM · $16B to $23B
        Nov 21, 2016 to Mar 31, 2017
      • Advisory employees · 69 to 70
        Feb 26, 2016 to Mar 30, 2016
      • Assets in custody · $2.2B to $2.9B
        Feb 26, 2016 to Mar 30, 2016
      • Employees · 133 to 154
        Feb 26, 2016 to Mar 30, 2016
      • Discretionary RAUM · $8.9B to $16B
        Feb 26, 2016 to Mar 30, 2016
      • RAUM · $8.9B to $16B
        Feb 26, 2016 to Mar 30, 2016
      • Advisory employees · 50 to 69
        Mar 6, 2015 to Mar 31, 2015
      • Assets in custody · $1.1B to $2.2B
        Mar 6, 2015 to Mar 31, 2015
      • Employees · 94 to 133
        Mar 6, 2015 to Mar 31, 2015
      • Discretionary RAUM · $6.7B to $8.9B
        Mar 6, 2015 to Mar 31, 2015
      • RAUM · $6.7B to $8.9B
        Mar 6, 2015 to Mar 31, 2015
      • Accounts · 6 to 3
        Mar 18, 2014 to Mar 31, 2014
      • Advisory employees · 49 to 50
        Mar 18, 2014 to Mar 31, 2014
      • Assets in custody · $892M to $1.1B
        Mar 18, 2014 to Mar 31, 2014
      • Employees · 93 to 94
        Mar 18, 2014 to Mar 31, 2014
      • Private funds · 2 to 1
        Mar 18, 2014 to Mar 31, 2014
      • Discretionary RAUM · $4.1B to $6.7B
        Mar 18, 2014 to Mar 31, 2014
      • RAUM · $4.1B to $6.7B
        Mar 18, 2014 to Mar 31, 2014
      • Advisory employees · 47 to 49
        Feb 27, 2013 to Apr 1, 2013
      • Assets in custody · $3.1B to $892M
        Feb 27, 2013 to Apr 1, 2013
      • Employees · 86 to 93
        Feb 27, 2013 to Apr 1, 2013
      • Discretionary RAUM · $4.1B to $4.1B
        Feb 27, 2013 to Apr 1, 2013
      • RAUM · $4.1B to $4.1B
        Feb 27, 2013 to Apr 1, 2013
      • Accounts · 7 to 6
        Nov 6, 2012 to Feb 27, 2013
      • Advisory employees · unset to 47.0
        Aug 9, 2012 to Nov 6, 2012
      • Employees · unset to 86.0
        Aug 9, 2012 to Nov 6, 2012
      • Accounts · 3 to 7
        Apr 18, 2012 to Jun 29, 2012
      • Assets in custody · $4.1B to $3.1B
        Apr 18, 2012 to Jun 29, 2012
      Signals
      1 dated events
      • H•••••• H••• C••••••• L• reported RAUM $11.1B, down 51% from $22.8B (2018-02-08 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