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

C•••• C•••••• N•••• A•••••• I•••

Former SEC-registered adviserStamford, ConnecticutCRD 156809SEC 801-77548IAPD
Latest filing Apr 2, 2018
First filing on the tape Jan 4, 2013 · 9 filings
RAUM
$339M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$339M gross assets
History
9 filings and snapshots on the tape
RAUM$339M as of Apr 2, 2018
Mar 31, 2014$2.2B then
HNW client RAUM: $0
State-registered IARs (5.B.3)4 as of Apr 2, 2018
Mar 31, 20146 then
Employees (5.A)4 as of Apr 2, 2018
Mar 31, 20146 then
Private funds5 as of Apr 2, 2018
Mar 31, 20155 then
RAUM -13% over the last fiscal year-43% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Apr 2, 2018; every figure names its basis
RAUM per advisor
$84.7MderivedRAUM 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
$67.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$339M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• I• F•••••• L•••no longer reportedSecuritized Asset Fund$633M0Mar 31, 2015
      N•••••• C•• 2••••• L••Securitized Asset Fund$97.6M0Mar 31, 2015
      C••••• 1• F•••••• L•••Securitized Asset Fund$82.4M0Mar 31, 2015
      R•••••••• F•••••• L•••Securitized Asset Fund$56.2M0Apr 19, 2016
      F•••••• 1• F•••••• L•••Securitized Asset Fund$52.7M0Mar 31, 2015
      A••••• I•• F•••••• L•••Securitized Asset Fund$50.1M0Mar 31, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• J••••••••• M•••• · Cfo / Cco /Treasuercontrol
        since 02/2011 · owns less than 5%
      • L••••••••• D•••• A•••••• · Ceocontrol
        since 02/2011 · owns less than 5%
      • S•••••• J•••• T••••••••• · Secretarycontrol
        since 02/2011 · owns less than 5%
      Entity owners
      • C•••• C•••••• G•••• L•••••• · Sole Shareholder
        direct · owns 75% or more
      • M••••••••• • B•••• D• C•••••• F••••••••• S•••• · Shareholder
        indirect · owns 50% to 75% of C•••• C•••••• G•••• L••••••
      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 · 4 to 3
        Sep 1, 2017 to Apr 2, 2018
      • Charity clients · unset to 0.0
        Sep 1, 2017 to Apr 2, 2018
      • Corporate clients · unset to 0.0
        Sep 1, 2017 to Apr 2, 2018
      • HNW clients · unset to 0.0
        Sep 1, 2017 to Apr 2, 2018
      • Individual clients · unset to 0.0
        Sep 1, 2017 to Apr 2, 2018
      • Pooled vehicle clients · unset to 5.0
        Sep 1, 2017 to Apr 2, 2018
      • Employees · 5 to 4
        Sep 1, 2017 to Apr 2, 2018
      • State-registered IARs · 5 to 4
        Sep 1, 2017 to Apr 2, 2018
      • Other offices · unset to 0.0
        Sep 1, 2017 to Apr 2, 2018
      • Discretionary RAUM · $390M to $339M
        Sep 1, 2017 to Apr 2, 2018
      • HNW RAUM · unset to 0.0
        Sep 1, 2017 to Apr 2, 2018
      • Individual RAUM · unset to 0.0
        Sep 1, 2017 to Apr 2, 2018
      • Pooled vehicle RAUM · unset to 338973433.0
        Sep 1, 2017 to Apr 2, 2018
      • RAUM · $390M to $339M
        Sep 1, 2017 to Apr 2, 2018
      • BD registered reps · 2 to 3
        Apr 3, 2017 to Sep 1, 2017
      • BD registered reps · 1 to 2
        Apr 19, 2016 to Apr 3, 2017
      • Discretionary RAUM · $1.1B to $390M
        Apr 19, 2016 to Apr 3, 2017
      • RAUM · $1.1B to $390M
        Apr 19, 2016 to Apr 3, 2017
      • Advisory employees · 5 to 4
        Nov 27, 2015 to Apr 19, 2016
      • Employees · 6 to 5
        Nov 27, 2015 to Apr 19, 2016
      • State-registered IARs · 6 to 5
        Nov 27, 2015 to Apr 19, 2016
      • Discretionary RAUM · $1.8B to $1.1B
        Nov 27, 2015 to Apr 19, 2016
      • RAUM · $1.8B to $1.1B
        Nov 27, 2015 to Apr 19, 2016
      • HQ city · GREENWICH to STAMFORD
        Mar 31, 2015 to Nov 27, 2015
      • Accounts · 7 to 5
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · unset to 5
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $2.2B to $1.8B
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $2.2B to $1.8B
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 4 to 7
        Jan 17, 2013 to Mar 31, 2014
      • Advisory employees · 3 to 5
        Jan 17, 2013 to Mar 31, 2014
      • Advisory activities · 2 to 3
        Jan 17, 2013 to Mar 31, 2014
      • Employees · 4 to 6
        Jan 17, 2013 to Mar 31, 2014
      • State-registered IARs · 3 to 6
        Jan 17, 2013 to Mar 31, 2014
      • Discretionary RAUM · $3.6B to $2.2B
        Jan 17, 2013 to Mar 31, 2014
      • RAUM · $3.6B to $2.2B
        Jan 17, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • C•••• C•••••• N•••• A•••••• I••• filed its initial SEC registration (Form ADV)
        Jan 4, 2013 · First SEC registration · 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