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

D••• C•••••• A•••••••• L••••••

Former SEC-registered adviserNew York, New YorkCRD 157467SEC 801-74024IAPD
Latest filing Mar 21, 2019
First filing on the tape Feb 14, 2012 · 12 filings
RAUM
$162M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$162M gross assets
History
12 filings and snapshots on the tape
RAUM$162M as of Mar 21, 2019
Mar 28, 2013$226M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2019
Mar 28, 20130 then
Employees (5.A)4 as of Mar 21, 2019
Mar 28, 20134 then
Private funds1 as of Mar 21, 2019
Mar 28, 20131 then
RAUM -26% over the last fiscal year+0.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2019; 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
$162MderivedRAUM 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
-26%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
$162M, 1 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
  • 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)
  • 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
  • Pooled investment vehicles$162M100%
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
$162M for 1 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••• C•••••• P•••••••• L•••Hedge Fund$133M43Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• A••• E•••••• · Chief Compliance Officercontrol
        since 02/2012 · owns less than 5%
      • D••••• D••••••• L•••• · Presidentcontrol
        since 03/1992 · owns 75% or more
      Related persons
      Schedule D 7.A
      • D••••• P•••••••• L•••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $219M to $162M
        Mar 26, 2018 to Mar 21, 2019
      • Discretionary RAUM · $219M to $162M
        Mar 26, 2018 to Mar 21, 2019
      • Pooled vehicle RAUM · $219M to $162M
        Mar 26, 2018 to Mar 21, 2019
      • RAUM · $219M to $162M
        Mar 26, 2018 to Mar 21, 2019
      • Pooled vehicle clients · unset to 1.0
        May 5, 2017 to Mar 26, 2018
      • Assets in custody · $187M to $219M
        May 5, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        May 5, 2017 to Mar 26, 2018
      • Discretionary RAUM · $187M to $219M
        May 5, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 218576632.0
        May 5, 2017 to Mar 26, 2018
      • RAUM · $187M to $219M
        May 5, 2017 to Mar 26, 2018
      • Assets in custody · $159M to $187M
        Mar 14, 2016 to Mar 29, 2017
      • Discretionary RAUM · $159M to $187M
        Mar 14, 2016 to Mar 29, 2017
      • RAUM · $159M to $187M
        Mar 14, 2016 to Mar 29, 2017
      • Related adviser · true to false
        Mar 14, 2016 to Mar 29, 2017
      • Assets in custody · $223M to $159M
        Mar 30, 2015 to Mar 14, 2016
      • Discretionary RAUM · $223M to $159M
        Mar 30, 2015 to Mar 14, 2016
      • RAUM · $223M to $159M
        Mar 30, 2015 to Mar 14, 2016
      • Assets in custody · $282M to $223M
        Sep 16, 2014 to Mar 30, 2015
      • Discretionary RAUM · $282M to $223M
        Sep 16, 2014 to Mar 30, 2015
      • RAUM · $282M to $223M
        Sep 16, 2014 to Mar 30, 2015
      • Assets in custody · $226M to $282M
        Oct 9, 2013 to Mar 31, 2014
      • Discretionary RAUM · $226M to $282M
        Oct 9, 2013 to Mar 31, 2014
      • RAUM · $226M to $282M
        Oct 9, 2013 to Mar 31, 2014
      • Related bank · false to true
        Oct 9, 2013 to Mar 31, 2014
      • Advisory employees · unset to 2.0
        Feb 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Assets in custody · $185M to $226M
        Feb 14, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        Feb 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $185M to $226M
        Feb 14, 2012 to Mar 28, 2013
      • RAUM · $185M to $226M
        Feb 14, 2012 to Mar 28, 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