DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

R•••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 156986SEC 801-73266IAPD

Latest filing Mar 24, 2015

First filing on the tape Feb 10, 2012 · 6 filings

RAUM

$110M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$169M gross assets

History

6 filings and snapshots on the tape

RAUM$110M as of Mar 24, 2015

Mar 27, 2013$254M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 24, 2015

Mar 27, 20130 then

Employees (5.A)10 as of Mar 24, 2015

Mar 27, 201310 then

Private funds1 as of Mar 24, 2015

Mar 27, 20131 then

RAUM -79% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 24, 2015; 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: $36.7MderivedRAUM 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: -79%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: $169M, 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

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

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

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: $169M 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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R•••• P••••••• M••••• F••• L•	Hedge Fund	$169M	27	Feb 10, 2012

Owners and control persons

Schedule A and B, latest filing

M••••••• R•••••• B•••• · Managing Membercontrol
since 01/2009 · owns 25% to 50%
O•••••••• E••••• · Managing Director, Operationscontrol
since 05/2009 · owns less than 5%
P•••• H••••••• · Membercontrol
since 01/2009 · owns 25% to 50%
S••••••• D••••••• A••••• · Managing Director, Cfo, Ccocontrol
since 04/2009 · owns less than 5%
S••••• A••••••• C••••••• · Membercontrol
since 01/2009 · owns 25% to 50%

Related persons

Schedule D 7.A

R•••• G•••••• P•••••• L••
investment adviserbankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4 to 3
Mar 21, 2014 to Mar 24, 2015
Assets in custody · $115M to $169M
Mar 21, 2014 to Mar 24, 2015
Discretionary RAUM · $515M to $110M
Mar 21, 2014 to Mar 24, 2015
RAUM · $515M to $110M
Mar 21, 2014 to Mar 24, 2015
Assets in custody · $216M to $115M
Aug 16, 2013 to Mar 21, 2014
Discretionary RAUM · $254M to $515M
Aug 16, 2013 to Mar 21, 2014
RAUM · $254M to $515M
Aug 16, 2013 to Mar 21, 2014
Accounts · 5 to 4
Feb 10, 2012 to Mar 27, 2013
Advisory employees · unset to 4.0
Feb 10, 2012 to Mar 27, 2013
BD registered reps · unset to 0.0
Feb 10, 2012 to Mar 27, 2013
Assets in custody · $339M to $216M
Feb 10, 2012 to Mar 27, 2013
Employees · unset to 10.0
Feb 10, 2012 to Mar 27, 2013
State-registered IARs · unset to 0.0
Feb 10, 2012 to Mar 27, 2013
Discretionary RAUM · $1.1B to $254M
Feb 10, 2012 to Mar 27, 2013
RAUM · $1.1B to $254M
Feb 10, 2012 to Mar 27, 2013
Related adviser · false to true
Feb 10, 2012 to Mar 27, 2013
Related bank · false to true
Feb 10, 2012 to Mar 27, 2013

Signals

No event on the tape.

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