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

I••••••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 156968SEC 801-73611IAPD
Latest filing Mar 9, 2022
First filing on the tape Feb 14, 2012 · 16 filings
RAUM
$114M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$114M gross assets
History
16 filings and snapshots on the tape
RAUM$114M as of Mar 9, 2022
Mar 21, 2013$670M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 9, 2022
Mar 21, 20130 then
Employees (5.A)5 as of Mar 9, 2022
Mar 21, 201315 then
Private funds1 as of Mar 9, 2022
Mar 21, 20131 then
RAUM -30% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 9, 2022; 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
$114MderivedRAUM 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
-30%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • 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)
  • 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$114M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••• I••••••••• L•Private Equity Fund$110M2Mar 31, 2017
      I••••••••• P••••••• V••• L•••no longer reportedPrivate Equity Fund$2.7M70Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• L••• J••••• · Managing Partnercontrol
        since 06/2005 · owns less than 5%
      • K•••• P••••• M•••••• · Managing Partnercontrol
        since 06/2005 · owns less than 5%
      • H••••••• L••• J••••• · Membercontrol
        since 06/2005 · owns 50% to 75% of H• C•••••• P•••••••• L••
      • K•••• P••••• M•••••• · Membercontrol
        since 06/2005 · owns 25% to 50% of H• C•••••• P•••••••• L••
      • C••••••• M•••• J• · Senior Partner/General Counsel/Chief Compliance Officer
        since 06/2005 · owns less than 5%
      Entity owners
      • H• C•••••• P•••••••• L•• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • G••••• L•••• H•••••••• L••
        pooled vehicle sponsorn
      Advisers that list I••••••••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $163M to $114M
        Mar 12, 2021 to Mar 9, 2022
      • Pooled vehicle RAUM · $163M to $114M
        Mar 12, 2021 to Mar 9, 2022
      • RAUM · $163M to $114M
        Mar 12, 2021 to Mar 9, 2022
      • Employees · 6 to 5
        Mar 30, 2020 to Mar 12, 2021
      • Discretionary RAUM · $234M to $163M
        Mar 30, 2020 to Mar 12, 2021
      • Pooled vehicle RAUM · $234M to $163M
        Mar 30, 2020 to Mar 12, 2021
      • RAUM · $234M to $163M
        Mar 30, 2020 to Mar 12, 2021
      • Accounts · 2 to 1
        Mar 5, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 2 to 1
        Mar 5, 2019 to Mar 30, 2020
      • Private funds · 2 to 1
        Mar 5, 2019 to Mar 30, 2020
      • Discretionary RAUM · $194M to $234M
        Mar 5, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $194M to $234M
        Mar 5, 2019 to Mar 30, 2020
      • RAUM · $194M to $234M
        Mar 5, 2019 to Mar 30, 2020
      • Employees · 7 to 6
        Feb 26, 2018 to Mar 5, 2019
      • Discretionary RAUM · $228M to $194M
        Feb 26, 2018 to Mar 5, 2019
      • Pooled vehicle RAUM · $228M to $194M
        Feb 26, 2018 to Mar 5, 2019
      • RAUM · $228M to $194M
        Feb 26, 2018 to Mar 5, 2019
      • Advisory employees · 4 to 3
        May 2, 2017 to Feb 26, 2018
      • Pooled vehicle clients · unset to 2.0
        May 2, 2017 to Feb 26, 2018
      • Assets in custody · 350517843.0 to unset
        May 2, 2017 to Feb 26, 2018
      • Other offices · unset to 0.0
        May 2, 2017 to Feb 26, 2018
      • Discretionary RAUM · $243M to $228M
        May 2, 2017 to Feb 26, 2018
      • Pooled vehicle RAUM · unset to 227639685.0
        May 2, 2017 to Feb 26, 2018
      • RAUM · $243M to $228M
        May 2, 2017 to Feb 26, 2018
      • Discretionary RAUM · $311M to $243M
        Mar 31, 2017 to May 2, 2017
      • RAUM · $311M to $243M
        Mar 31, 2017 to May 2, 2017
      • Accounts · 1 to 2
        Feb 7, 2017 to Mar 31, 2017
      • Advisory employees · 7 to 4
        Feb 7, 2017 to Mar 31, 2017
      • Assets in custody · unset to 350517843.0
        Feb 7, 2017 to Mar 31, 2017
      • Employees · 11 to 7
        Feb 7, 2017 to Mar 31, 2017
      • Private funds · 1 to 2
        Feb 7, 2017 to Mar 31, 2017
      • Discretionary RAUM · $668M to $311M
        Feb 7, 2017 to Mar 31, 2017
      • RAUM · $668M to $311M
        Feb 7, 2017 to Mar 31, 2017
      • Advisory employees · 8 to 7
        Mar 19, 2015 to Mar 23, 2016
      • Employees · 12 to 11
        Mar 19, 2015 to Mar 23, 2016
      • Discretionary RAUM · $830M to $668M
        Mar 19, 2015 to Mar 23, 2016
      • RAUM · $830M to $668M
        Mar 19, 2015 to Mar 23, 2016
      • Related adviser · true to false
        Mar 19, 2015 to Mar 23, 2016
      • Discretionary RAUM · $1.0B to $830M
        Jun 6, 2014 to Mar 19, 2015
      • RAUM · $1.0B to $830M
        Jun 6, 2014 to Mar 19, 2015
      Signals
      No event on the tape.
      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