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

B••••••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 156900SEC 801-73567IAPD
Latest filing Mar 19, 2020
First filing on the tape Feb 14, 2012 · 17 filings
RAUM
$740M
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$740M gross assets
History
17 filings and snapshots on the tape
RAUM$740M as of Mar 19, 2020
Feb 22, 2013$636M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2020
Feb 22, 20130 then
Employees (5.A)9 as of Mar 19, 2020
Feb 22, 20137 then
Private funds1 as of Mar 19, 2020
Feb 22, 20131 then
RAUM +15% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2020; 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
$247MderivedRAUM 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
+15%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
$740M, 3 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$740M100%
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
$740M for 3 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••••• H••••••••• M••••• F•••• L•••Hedge Fund$32.4M207Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• K•••• · Managing Membercontrol
        since 08/2005 · owns 75% or more
      • M••••••• N•• · Chief Financial Officer, Chief Compliance Officercontrol
        since 04/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      • B••••••• A•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $645M to $740M
        Mar 29, 2019 to Mar 19, 2020
      • Employees · 10 to 9
        Mar 29, 2019 to Mar 19, 2020
      • Discretionary RAUM · $645M to $740M
        Mar 29, 2019 to Mar 19, 2020
      • Pooled vehicle RAUM · $645M to $740M
        Mar 29, 2019 to Mar 19, 2020
      • RAUM · $645M to $740M
        Mar 29, 2019 to Mar 19, 2020
      • Advisory employees · 6 to 5
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $844M to $645M
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 13 to 10
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $844M to $645M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $844M to $645M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $844M to $645M
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 4 to 6
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $1.3B to $844M
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 10 to 13
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.3B to $844M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 844360450.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $1.3B to $844M
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 6 to 4
        Apr 5, 2016 to Mar 31, 2017
      • Assets in custody · $1.9B to $1.3B
        Apr 5, 2016 to Mar 31, 2017
      • Employees · 11 to 10
        Apr 5, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.9B to $1.3B
        Apr 5, 2016 to Mar 31, 2017
      • RAUM · $1.9B to $1.3B
        Apr 5, 2016 to Mar 31, 2017
      • Advisory employees · 4 to 6
        Jun 9, 2015 to Mar 29, 2016
      • Assets in custody · $1.6B to $1.9B
        Jun 9, 2015 to Mar 29, 2016
      • Employees · 9 to 11
        Jun 9, 2015 to Mar 29, 2016
      • Discretionary RAUM · $1.6B to $1.9B
        Jun 9, 2015 to Mar 29, 2016
      • RAUM · $1.6B to $1.9B
        Jun 9, 2015 to Mar 29, 2016
      • Related adviser · true to false
        Jun 9, 2015 to Mar 29, 2016
      • Advisory employees · 5 to 4
        Dec 2, 2014 to Mar 30, 2015
      • Assets in custody · unset to 1576924000.0
        Dec 2, 2014 to Mar 30, 2015
      • Custody of client assets · false to true
        Dec 2, 2014 to Mar 30, 2015
      • Employees · 10 to 9
        Dec 2, 2014 to Mar 30, 2015
      • Discretionary RAUM · $1.3B to $1.6B
        Dec 2, 2014 to Mar 30, 2015
      • RAUM · $1.3B to $1.6B
        Dec 2, 2014 to Mar 30, 2015
      • Employees · 7 to 10
        Mar 27, 2014 to Dec 2, 2014
      • Advisory employees · 4 to 5
        Feb 22, 2013 to Mar 27, 2014
      • Discretionary RAUM · $636M to $1.3B
        Feb 22, 2013 to Mar 27, 2014
      • RAUM · $636M to $1.3B
        Feb 22, 2013 to Mar 27, 2014
      Signals
      1 dated events
      • B••••••• C••••••• L•• reported RAUM $844.4M, down 34% from $1.3B (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