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•••••••• C•••••• P••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 157253SEC 801-73185IAPD
Latest filing Mar 31, 2017
First filing on the tape Feb 8, 2012 · 11 filings
RAUM
$401M
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
12
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$401M gross assets
History
11 filings and snapshots on the tape
RAUM$401M as of Mar 31, 2017
Mar 22, 2013$750M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 22, 20130 then
Employees (5.A)12 as of Mar 31, 2017
Mar 22, 201313 then
Private funds2 as of Mar 31, 2017
Mar 22, 20131 then
RAUM -61% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$57.3MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-61%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
$401M, 7 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)
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
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$401M for 7 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••••• C•••••• P••••••• M••••• F••• L•Hedge Fund$400M18Feb 8, 2012
      P• D•••••• I•Hedge Fund$265M9Mar 24, 2016
      P• D•••••• L••no longer reportedHedge Fund$165M9Mar 26, 2015
      E•••••••• C•••••• P••••••• L•••••••• M••••• F••• L•Hedge Fund$1.2M1Mar 31, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • E••••••••• A••• M••• · Limited Partnercontrol
        since 08/2008 · owns 50% to 75%
      • E••••••••• J•••• H••••• · Cio/Limited Partnercontrol
        since 08/2008 · owns 50% to 75%
      • E••••••••• A••• M••• · General Partnercontrol
        since 08/2008 · owns 50% to 75% of E••• L••
      • E••••••••• J•••• H••••• · General Partnercontrol
        since 08/2008 · owns 50% to 75% of E••• L••
      • D••••••• D••••••• P•••••• · Cco/Coo
        since 05/2016 · owns less than 5%
      Entity owners
      • E••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • E•••••••• C•••••• A••••••••• L••
        bankpooled vehicle sponsorn
      • E•••••••• C•••••• P••••••• ••• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 7
        May 31, 2016 to Mar 31, 2017
      • Advisory employees · 9 to 8
        May 31, 2016 to Mar 31, 2017
      • Assets in custody · $1.0B to $401M
        May 31, 2016 to Mar 31, 2017
      • Employees · 20 to 12
        May 31, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.0B to $401M
        May 31, 2016 to Mar 31, 2017
      • RAUM · $1.0B to $401M
        May 31, 2016 to Mar 31, 2017
      • Advisory employees · 2 to 9
        Sep 21, 2015 to Mar 24, 2016
      • Business name · D•••••• M••••••••• L• to E•••••••• C•••••• P••••••• L•
        Sep 21, 2015 to Mar 24, 2016
      • Assets in custody · $801M to $1.0B
        Sep 21, 2015 to Mar 24, 2016
      • Financial planning clients · unset to 0
        Sep 21, 2015 to Mar 24, 2016
      • Legal name · D•••••• M••••••••• L• to E•••••••• C•••••• P••••••• L•
        Sep 21, 2015 to Mar 24, 2016
      • Discretionary RAUM · $967M to $1.0B
        Sep 21, 2015 to Mar 24, 2016
      • RAUM · $967M to $1.0B
        Sep 21, 2015 to Mar 24, 2016
      • Accounts · 4 to 5
        Sep 5, 2014 to Mar 26, 2015
      • Assets in custody · $1.0B to $801M
        Sep 5, 2014 to Mar 26, 2015
      • Employees · 15 to 20
        Sep 5, 2014 to Mar 26, 2015
      • Private funds · 1 to 2
        Sep 5, 2014 to Mar 26, 2015
      • Discretionary RAUM · $1.0B to $967M
        Sep 5, 2014 to Mar 26, 2015
      • RAUM · $1.0B to $967M
        Sep 5, 2014 to Mar 26, 2015
      • Assets in custody · $750M to $1.0B
        Mar 22, 2013 to Mar 20, 2014
      • Employees · 13 to 15
        Mar 22, 2013 to Mar 20, 2014
      • Discretionary RAUM · $750M to $1.0B
        Mar 22, 2013 to Mar 20, 2014
      • RAUM · $750M to $1.0B
        Mar 22, 2013 to Mar 20, 2014
      • Accounts · 3 to 4
        Mar 9, 2012 to Mar 22, 2013
      • Advisory employees · unset to 2.0
        Mar 9, 2012 to Mar 22, 2013
      • BD registered reps · unset to 0.0
        Mar 9, 2012 to Mar 22, 2013
      • Assets in custody · $900M to $750M
        Mar 9, 2012 to Mar 22, 2013
      • Employees · unset to 13.0
        Mar 9, 2012 to Mar 22, 2013
      • State-registered IARs · unset to 0.0
        Mar 9, 2012 to Mar 22, 2013
      • Discretionary RAUM · $900M to $750M
        Mar 9, 2012 to Mar 22, 2013
      • RAUM · $900M to $750M
        Mar 9, 2012 to Mar 22, 2013
      • Related bank · false to true
        Mar 9, 2012 to Mar 22, 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