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

A••••• I••••••••• U••• L••

Former SEC-registered adviserNew York, New YorkCRD 157317SEC 801-72274IAPD
Latest filing Jun 3, 2014
First filing on the tape Mar 12, 2012 · 15 filings
RAUM
$869M
reported, Item 5.F
Discretionary
44%
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
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$32.4M gross assets
History
15 filings and snapshots on the tape
RAUM$869M as of Mar 28, 2014
Mar 12, 2012$3.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Feb 6, 20130 then
Employees (5.A)9 as of Mar 28, 2014
Feb 6, 201320 then
Private funds1 as of Mar 28, 2014
Mar 12, 201217 then
RAUM +145% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 3, 2014; 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
$145MderivedRAUM over accounts (5.F.2.f)
Discretionary
44%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+145%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      17 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••••••••• F••• L••••••no longer reportedHedge Fund$1.7B71Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•• I• R•••••• O• M•••••• S•••••no longer reportedHedge Fund$596M16Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•• I• R•••••• O• M•••••••• S•••••no longer reportedHedge Fund$443M50Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•••••• I• R•••••• O• G••••• F•••••• P•••••••• I•no longer reportedHedge Fund$222M32Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•••••• I• R•••••• O• P•••••• S•••••no longer reportedHedge Fund$124M16Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•• I• R•••••• O• C••••• C•• I•• S•••••no longer reportedHedge Fund$83.3M20Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•• I• R•••••• O• T•••••• S•••••no longer reportedHedge Fund$57.3M1Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•••••• I• R•••••• O• S•• E••••• L••• S•••• S•••••no longer reportedHedge Fund$52.6M11Mar 12, 2012
      G•••• W•• S••••• • T•• M•••• F•••no longer reportedHedge Fund$52.5M10Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•••••• I• R•••••• O• T•••••••• S•••••no longer reportedHedge Fund$48.6M14Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•••••• I• R•••••• O• P••••••• S•••••no longer reportedHedge Fund$30.8M14Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•••••• I• R•••••• O• B•••• P•••• D• S•••••no longer reportedHedge Fund$30.7M14Mar 12, 2012
      D••••••••• F••• L••no longer reportedHedge Fund$28.5M1Mar 12, 2012
      I••••••••• B••••••••• •••••• F•••••• L•••••• I• R•••••• O• A••••• C• S•••••no longer reportedHedge Fund$28.2M13Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•••••• I• R•••••• O• T••••• S•••••no longer reportedHedge Fund$26.7M9Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•• I• R•••••• O• B••••• S•••••no longer reportedHedge Fund$19.6M7Mar 12, 2012
      I••••••••• B••••••••• S••••• •••••• F•••••• L•••••• I• R•••••• O• G••••• K•• C•• S•••••no longer reportedHedge Fund$14.0M2Mar 12, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• P••••••• R••••• · Chief Executive Officercontrol
        since 04/2012 · owns less than 5%
      • P•••••• M•••• I•• · Chief Financial Officercontrol
        since 04/2011 · owns less than 5%
      • P•••••• J•••••• T••••• A•••••••• · Chief Compliance Officer
        since 08/2013 · owns less than 5%
      Entity owners
      • A••••• U••• I••• · Shareholder
        direct · owns 75% or more
      • A••••• · Shareholder
        indirect · owns 75% or more of A••••• USA, Inc.
      • A••••• G•••• · Shareholder
        indirect · owns 75% or more of A•••••
      • C••••• A••••••• A•••• M••••••••• S••• · Shareholder
        indirect · owns 75% or more of A••••• G••••
      • S•• R•• L• B••••• · Shareholder
        indirect · owns 50% to 75% of C••••• A••••••• A•••• M••••••••• S•••
      • S•••••• G••••••• · Shareholder
        indirect · owns 25% to 50% of A••••• G••••
      Related persons
      Schedule D 7.A
      Advisers that list A••••• I••••••••• U••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Durham, NC
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 6
        Mar 12, 2014 to Mar 28, 2014
      • Advisory employees · 6 to 4
        Mar 12, 2014 to Mar 28, 2014
      • Employees · 11 to 9
        Mar 12, 2014 to Mar 28, 2014
      • Discretionary RAUM · $355M to $385M
        Mar 12, 2014 to Mar 28, 2014
      • Non-discretionary RAUM · $458M to $484M
        Mar 12, 2014 to Mar 28, 2014
      • RAUM · $813M to $869M
        Mar 12, 2014 to Mar 28, 2014
      • Advisory employees · 10 to 6
        Sep 6, 2013 to Mar 12, 2014
      • BD registered reps · 1 to 0
        Sep 6, 2013 to Mar 12, 2014
      • Employees · 20 to 11
        Sep 6, 2013 to Mar 12, 2014
      • Accounts · 4 to 5
        May 1, 2013 to May 7, 2013
      • Non-discretionary RAUM · $0 to $458M
        May 1, 2013 to May 7, 2013
      • RAUM · $355M to $813M
        May 1, 2013 to May 7, 2013
      • Accounts · 8 to 4
        Oct 5, 2012 to Feb 6, 2013
      • Advisory employees · unset to 10.0
        Oct 5, 2012 to Feb 6, 2013
      • BD registered reps · 0 to 1
        Oct 5, 2012 to Feb 6, 2013
      • Employees · unset to 20.0
        Oct 5, 2012 to Feb 6, 2013
      • State-registered IARs · unset to 0.0
        Oct 5, 2012 to Feb 6, 2013
      • Private funds · 18 to 1
        Oct 5, 2012 to Feb 6, 2013
      • Discretionary RAUM · $4.1B to $355M
        Oct 5, 2012 to Feb 6, 2013
      • RAUM · $4.1B to $355M
        Oct 5, 2012 to Feb 6, 2013
      • Accounts · 6 to 8
        Mar 12, 2012 to Apr 5, 2012
      • Private funds · 17 to 18
        Mar 12, 2012 to Apr 5, 2012
      • Discretionary RAUM · $3.9B to $4.1B
        Mar 12, 2012 to Apr 5, 2012
      • RAUM · $3.9B to $4.1B
        Mar 12, 2012 to Apr 5, 2012
      • Business name · A••••• A••••••••• I••••••••• L•• to A••••• I••••••••• U••• L••
        Apr 5, 2012 to Apr 5, 2012
      • Legal name · A••••• A••••••••• I••••••••• L•• to A••••• I••••••••• U••• L••
        Apr 5, 2012 to Apr 5, 2012
      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