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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

F••••••••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 157386SEC 801-73370IAPD
Latest filing Oct 2, 2013
First filing on the tape Feb 13, 2012 · 3 filings
RAUM
$221M
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
13
$221M gross assets
History
3 filings and snapshots on the tape
RAUM$221M as of Oct 2, 2013
Feb 13, 2012$386M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 2, 2013
Mar 28, 20130 then
Employees (5.A)7 as of Oct 2, 2013
Mar 28, 20137 then
Private funds13 as of Oct 2, 2013
Feb 13, 201213 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 2, 2013; 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
$17.0MderivedRAUM 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
unknownderivedbetween 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-based, otherreportedItem 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
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
13reported
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
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F••••••••• C•••••• P••••••• I•• L•••Private Equity Fund$86.9M44Feb 13, 2012
      C••••• H••••••• A•••••• L••Private Equity Fund$32.0M28Mar 30, 2017
      F••••••••• R••••••••• A•••••• L•••Private Equity Fund$6.3M2Feb 13, 2012
      F••••••••• O•••••• H•••••••• L••Private Equity Fund$4.0M10Mar 30, 2017
      F••••••••• C•••••• P••••••• I• A•• ••••••••• L•••Private Equity Fund$4.0M46Feb 13, 2012
      F••••••••• C•••••• P••••••• I• G••• A••• L•••Private Equity Fund$3.6M46Feb 13, 2012
      F••••••••• C•••••• P••••••• I• ••••• L•••Private Equity Fund$1.4M19Feb 13, 2012
      F••••••••• C•••••• P••••••• I• A•• N•••• L•••Private Equity Fund$735,62546Feb 13, 2012
      F••••••••• C•••••• P••••••• I• P•• A•• ••••••••• L•••Private Equity Fund$60,39220Feb 13, 2012
      S••••• C•••••• P•••••••• L•••Private Equity Fund$046Feb 13, 2012
      S••••• C•••••• P••••••• •••••• I•••••••• L•••Private Equity Fund$010Feb 13, 2012
      F••••••••• M••••••••• I••••••••• L••Private Equity Fund$037Mar 30, 2017
      S••••• C•••••• P••••••• C••• L••Private Equity Fund$04Feb 13, 2012
      F••••••••• C•••••• R••••••••• F••• A•• ••••••••• L•••Private Equity Fund$02Feb 13, 2012
      W•••• I•• C••••••••• L•••Private Equity Fund$03Feb 13, 2012
      F••••••••• C•••••• R••••••••• F•••• L•••Private Equity Fund$02Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• D••••• S•••• · Chief Executive Officercontrol
        since 02/1998 · owns 75% or more
      • B••••••• G•••• M• · Cfo & Cco
        since 07/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      • F••••••••• C•••••• P••••••• I• G• ••••••••• L•••
        pooled vehicle sponsorn
      • F••••••••• C•••••• P••••••• I• G•• L••
        pooled vehicle sponsorn
      • F••••••••• C•••••• R••••••••• F••• G• ••••••••• L•••
        pooled vehicle sponsorn
      • F••••••••• C•••••• R••••••••• F••• G•• L••
        pooled vehicle sponsorn
      • S••••• C•••••• P•••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 4.0
        Feb 13, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Mar 28, 2013
      • Employees · unset to 7.0
        Feb 13, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Mar 28, 2013
      • Discretionary RAUM · $386M to $221M
        Feb 13, 2012 to Mar 28, 2013
      • RAUM · $386M to $221M
        Feb 13, 2012 to Mar 28, 2013
      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