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

E••• P••• C•••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 156930SEC 801-73171IAPD
Latest filing Mar 29, 2018
First filing on the tape Feb 7, 2012 · 20 filings
RAUM
$496M
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
21
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$496M gross assets
History
20 filings and snapshots on the tape
RAUM$496M as of Mar 29, 2018
Mar 28, 2013$19B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 28, 20130 then
Employees (5.A)21 as of Mar 29, 2018
Mar 28, 2013126 then
Private funds6 as of Mar 29, 2018
Mar 28, 20136 then
RAUM -96% over the last fiscal year-68% 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
$82.7MderivedRAUM 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
-96%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$496M, 6 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)
  • 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)
  • the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$496M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$496M for 6 clientsreported
Compensation
n/areported
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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E• O••••••••• F••• I•• L•••Hedge Fund$559M2Aug 11, 2015
      C••••• O••••••••• M••••• F••• I•• L•••no longer reportedHedge Fund$478M46Aug 10, 2012
      E• O••••••••• F•••• L••• ••••• B•no longer reportedHedge Fund$334M2Mar 30, 2015
      E••• P••• M••••• F•••• L•••Hedge Fund$291M1,109Feb 7, 2012
      E••• P••• E••••••• M•••••• M••••• F••• I•• L•••no longer reportedPrivate Equity Fund$206M2Feb 7, 2012
      E••• P••• F•••• L•••Hedge Fund$148M991Feb 7, 2012
      E• O••••••••• F•••• L•••Hedge Fund$42.4M2Feb 4, 2015
      E••• P••• E••••••• M•••••• M••••• F•••• L•••Private Equity Fund$39.4M15Feb 7, 2012
      E••• P••• E••••••• M•••••• F••• I•• L•••no longer reportedPrivate Equity Fund$34.5M27Feb 7, 2012
      E••• P••• E••••••• M•••••• F•••• L•••Private Equity Fund$15.4M44Feb 7, 2012
      E• C••••• O••••••••• M••••• F•••• L•••Hedge Fund$1.5M2Feb 7, 2012
      E• O••••••••• H•••••••• L•••••Hedge Fund$1.0M1Aug 11, 2015
      E••• P••• E••••••• M•••••• O••••••• F••• I•• L•••no longer reportedPrivate Equity Fund$012Feb 7, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• M•••• · Chief Operating Officer, General Counsel And Chief Compliance Officercontrol
        since 03/2005 · owns 5% to 10%
      • M••••••• E•••• M••••• · Chief Executive Officercontrol
        since 05/2004 · owns 25% to 50%
      • K•••••••• S•••• E••••• · Membercontrol
        since 05/2004 · owns 50% to 75% of E••• P••• C•••••• M••••••••• L••
      • M••••••• E•••• M••••• · Managing Membercontrol
        since 05/2004 · owns 25% to 50% of E••• P••• C•••••• M••••••••• L••
      Entity owners
      • E••• P••• C•••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • E• C••••• O••••••••• A••••••••• L•••
        bankpooled vehicle sponsorn
      • E• C••••• O••••••••• L•••••
        bankpooled vehicle sponsorn
      • E• O••••••••• A••••••••• I•• L•••
        bankpooled vehicle sponsorn
      • E• O••••••••• A••••••••• L•••
        bankpooled vehicle sponsorn
      • E• O••••••••• H••••••• A••••••••• L•••
        bankpooled vehicle sponsorn
      • E••• P••• A••••••••• L•••
        pooled vehicle sponsorn
      • E••• P••• E••••••• M•••••• A••••••••• L•••
        bankpooled vehicle sponsorn
      • E••• P••• E••••••• M••••••• L•••••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 6
        Jul 11, 2017 to Mar 29, 2018
      • Advisory employees · 37 to 3
        Jul 11, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 6.0
        Jul 11, 2017 to Mar 29, 2018
      • Assets in custody · $11B to $496M
        Jul 11, 2017 to Mar 29, 2018
      • Employees · 106 to 21
        Jul 11, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 11, 2017 to Mar 29, 2018
      • Private funds · 8 to 6
        Jul 11, 2017 to Mar 29, 2018
      • Discretionary RAUM · $11B to $496M
        Jul 11, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 496339949.0
        Jul 11, 2017 to Mar 29, 2018
      • RAUM · $11B to $496M
        Jul 11, 2017 to Mar 29, 2018
      • Related adviser · true to false
        Jul 11, 2017 to Mar 29, 2018
      • Accounts · 10 to 8
        Jul 14, 2016 to Mar 31, 2017
      • Advisory employees · 41 to 37
        Jul 14, 2016 to Mar 31, 2017
      • Assets in custody · $15B to $11B
        Jul 14, 2016 to Mar 31, 2017
      • Employees · 117 to 106
        Jul 14, 2016 to Mar 31, 2017
      • Private funds · 9 to 8
        Jul 14, 2016 to Mar 31, 2017
      • Discretionary RAUM · $15B to $11B
        Jul 14, 2016 to Mar 31, 2017
      • RAUM · $15B to $11B
        Jul 14, 2016 to Mar 31, 2017
      • Accounts · 8 to 10
        Aug 11, 2015 to Mar 30, 2016
      • Advisory employees · 40 to 41
        Aug 11, 2015 to Mar 30, 2016
      • Assets in custody · $15B to $15B
        Aug 11, 2015 to Mar 30, 2016
      • Employees · 114 to 117
        Aug 11, 2015 to Mar 30, 2016
      • Discretionary RAUM · $15B to $15B
        Aug 11, 2015 to Mar 30, 2016
      • RAUM · $15B to $15B
        Aug 11, 2015 to Mar 30, 2016
      • Private funds · 8 to 9
        Mar 30, 2015 to Aug 11, 2015
      • Accounts · 7 to 8
        Feb 4, 2015 to Mar 30, 2015
      • Assets in custody · $15B to $15B
        Feb 4, 2015 to Mar 30, 2015
      • Employees · 116 to 114
        Feb 4, 2015 to Mar 30, 2015
      • Private funds · 7 to 8
        Feb 4, 2015 to Mar 30, 2015
      • Discretionary RAUM · $15B to $15B
        Feb 4, 2015 to Mar 30, 2015
      • RAUM · $15B to $15B
        Feb 4, 2015 to Mar 30, 2015
      • Private funds · 6 to 7
        Jul 22, 2014 to Feb 4, 2015
      • Advisory employees · 50 to 40
        Feb 7, 2014 to Mar 31, 2014
      • Assets in custody · $19B to $15B
        Feb 7, 2014 to Mar 31, 2014
      • Employees · 126 to 116
        Feb 7, 2014 to Mar 31, 2014
      • Discretionary RAUM · $19B to $15B
        Feb 7, 2014 to Mar 31, 2014
      • RAUM · $19B to $15B
        Feb 7, 2014 to Mar 31, 2014
      • Accounts · 8 to 7
        Aug 10, 2012 to Mar 28, 2013
      • Advisory employees · unset to 50.0
        Aug 10, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Aug 10, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • E••• P••• C•••••• M••••••••• L••• reported RAUM $496.3M, down 96% from $11.3B (2017-07-11 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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