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

L•••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 157555SEC 801-73375IAPD
Latest filing Mar 28, 2016
First filing on the tape Feb 13, 2012 · 8 filings
RAUM
$875M
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$554M gross assets
History
8 filings and snapshots on the tape
RAUM$875M as of Mar 28, 2016
Mar 25, 2013$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2016
Mar 25, 20130 then
Employees (5.A)6 as of Mar 28, 2016
Mar 25, 201310 then
Private funds2 as of Mar 28, 2016
Mar 25, 20132 then
RAUM -8.9% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2016; 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
$97.3MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$554M, 4 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$554M for 4 clientsreported
Compensation
n/areported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•••• F•••• L•••Other Private Fund$548M3Feb 13, 2012
      L•••• O••••••• F•••• L•Other Private Fund$6.1M2Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T•••••• R••••• · Managing Membercontrol
        since 12/1997 · owns 75% or more
      • R••••••••• D••••••• C••••••••• · Chief Compliance Officer
        since 09/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      • R••••• T•••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 9
        Feb 19, 2015 to Mar 28, 2016
      • Advisory employees · 6 to 3
        Feb 19, 2015 to Mar 28, 2016
      • Assets in custody · $647M to $554M
        Feb 19, 2015 to Mar 28, 2016
      • Employees · 9 to 6
        Feb 19, 2015 to Mar 28, 2016
      • Discretionary RAUM · $961M to $875M
        Feb 19, 2015 to Mar 28, 2016
      • RAUM · $961M to $875M
        Feb 19, 2015 to Mar 28, 2016
      • Accounts · 9 to 8
        Mar 10, 2014 to Feb 19, 2015
      • Assets in custody · $628M to $647M
        Mar 10, 2014 to Feb 19, 2015
      • Discretionary RAUM · $956M to $961M
        Mar 10, 2014 to Feb 19, 2015
      • RAUM · $956M to $961M
        Mar 10, 2014 to Feb 19, 2015
      • Accounts · 2 to 9
        Nov 6, 2013 to Mar 10, 2014
      • Advisory employees · 7 to 6
        Nov 6, 2013 to Mar 10, 2014
      • Advisory activities · 1 to 2
        Nov 6, 2013 to Mar 10, 2014
      • Assets in custody · $1.3B to $628M
        Nov 6, 2013 to Mar 10, 2014
      • Employees · 10 to 9
        Nov 6, 2013 to Mar 10, 2014
      • Discretionary RAUM · $1.3B to $956M
        Nov 6, 2013 to Mar 10, 2014
      • RAUM · $1.3B to $956M
        Nov 6, 2013 to Mar 10, 2014
      • Advisory employees · 10 to 7
        Dec 13, 2012 to Mar 25, 2013
      • Assets in custody · $2.6B to $1.3B
        Dec 13, 2012 to Mar 25, 2013
      • Employees · 18 to 10
        Dec 13, 2012 to Mar 25, 2013
      • Discretionary RAUM · $2.6B to $1.3B
        Dec 13, 2012 to Mar 25, 2013
      • RAUM · $2.6B to $1.3B
        Dec 13, 2012 to Mar 25, 2013
      • Advisory employees · unset to 10.0
        Feb 13, 2012 to Dec 13, 2012
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Dec 13, 2012
      • Employees · unset to 18.0
        Feb 13, 2012 to Dec 13, 2012
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Dec 13, 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