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

F••••• F•••••• • C••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 157829SEC 801-73817IAPD
Latest filing May 31, 2019
First filing on the tape Feb 14, 2012 · 12 filings
RAUM
$443M
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
$443M gross assets
History
12 filings and snapshots on the tape
RAUM$443M as of Mar 28, 2019
Mar 28, 2013$381M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 28, 20130 then
Employees (5.A)6 as of Mar 28, 2019
Mar 28, 20138 then
Private funds12 as of Mar 28, 2019
Mar 28, 20137 then
RAUM +38% over the last fiscal year-4.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 31, 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
$36.9MderivedRAUM 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
+38%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
$443M, 12 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 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$443M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$443M for 12 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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•• P••••••• I••• L•••no longer reportedPrivate Equity Fund$248M29Feb 14, 2012
      F•• A•••••• I••••••••• L••Private Equity Fund$43.6M52Mar 28, 2013
      F•• P••••••• I•• L•••Private Equity Fund$93,85837Feb 14, 2012
      F•• P••••••• I••••• L•••Private Equity Fund$64,62425Mar 28, 2014
      F•• E•••••••• P••••••• I••• L•••Private Equity Fund$2,36167Feb 14, 2012
      F•• E•••••••• P••••••• I•• L•••Private Equity Fund$1,76532Feb 14, 2012
      F•• P••••••• I• L•••no longer reportedPrivate Equity Fund$036Feb 14, 2012
      F•• E•••••••• P••••••• I• L•••no longer reportedPrivate Equity Fund$075Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• C•••••• A•••••• · Managing Membercontrol
        since 06/1995 · owns 50% to 75%
      • F••••••• D••••• A••• · Managing Membercontrol
        since 06/1995 · owns 25% to 50%
      • S••••••• N•••••• L•••••• · Chief Compliance Officercontrol
        since 04/2018 · owns less than 5%
      Related persons
      Schedule D 7.A
      • F•• A•••••• M••••••••• L••
        pooled vehicle sponsory
      • F•• E•••••••• G• I•• L••
        pooled vehicle sponsory
      • F•• G• I•• L••
        pooled vehicle sponsory
      • F•• G• I••• L••
        pooled vehicle sponsory
      • P•••••• E••••• G•• L••
        pooled vehicle sponsory
      • P•••••• E•••••• L••
        investment advisery
      Advisers that list F••••• F•••••• • C••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 12
        Apr 27, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 11 to 12
        Apr 27, 2018 to Mar 28, 2019
      • Assets in custody · $318M to $443M
        Apr 27, 2018 to Mar 28, 2019
      • Private funds · 11 to 12
        Apr 27, 2018 to Mar 28, 2019
      • Discretionary RAUM · $318M to $443M
        Apr 27, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $318M to $443M
        Apr 27, 2018 to Mar 28, 2019
      • RAUM · $318M to $443M
        Apr 27, 2018 to Mar 28, 2019
      • Assets in custody · $322M to $318M
        Mar 29, 2018 to Apr 27, 2018
      • Discretionary RAUM · $322M to $318M
        Mar 29, 2018 to Apr 27, 2018
      • Pooled vehicle RAUM · $322M to $318M
        Mar 29, 2018 to Apr 27, 2018
      • RAUM · $322M to $318M
        Mar 29, 2018 to Apr 27, 2018
      • Pooled vehicle clients · unset to 11.0
        May 19, 2017 to Mar 29, 2018
      • Assets in custody · $532M to $322M
        May 19, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        May 19, 2017 to Mar 29, 2018
      • Discretionary RAUM · $532M to $322M
        May 19, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 321903397.0
        May 19, 2017 to Mar 29, 2018
      • RAUM · $532M to $322M
        May 19, 2017 to Mar 29, 2018
      • Accounts · 8 to 11
        Mar 28, 2016 to Mar 28, 2017
      • Assets in custody · $502M to $532M
        Mar 28, 2016 to Mar 28, 2017
      • Private funds · 8 to 11
        Mar 28, 2016 to Mar 28, 2017
      • Discretionary RAUM · $502M to $532M
        Mar 28, 2016 to Mar 28, 2017
      • RAUM · $502M to $532M
        Mar 28, 2016 to Mar 28, 2017
      • Accounts · 7 to 8
        Mar 30, 2015 to Mar 28, 2016
      • Assets in custody · $510M to $502M
        Mar 30, 2015 to Mar 28, 2016
      • Employees · 7 to 6
        Mar 30, 2015 to Mar 28, 2016
      • Private funds · 7 to 8
        Mar 30, 2015 to Mar 28, 2016
      • Discretionary RAUM · $510M to $502M
        Mar 30, 2015 to Mar 28, 2016
      • RAUM · $510M to $502M
        Mar 30, 2015 to Mar 28, 2016
      • Accounts · 6 to 7
        Sep 4, 2014 to Mar 30, 2015
      • Assets in custody · $392M to $510M
        Sep 4, 2014 to Mar 30, 2015
      • Private funds · 6 to 7
        Sep 4, 2014 to Mar 30, 2015
      • Discretionary RAUM · $392M to $510M
        Sep 4, 2014 to Mar 30, 2015
      • RAUM · $392M to $510M
        Sep 4, 2014 to Mar 30, 2015
      • Accounts · 5 to 6
        Mar 28, 2014 to Sep 4, 2014
      • Advisory employees · 6 to 5
        Mar 28, 2014 to Sep 4, 2014
      • Assets in custody · $373M to $392M
        Mar 28, 2014 to Sep 4, 2014
      • Employees · 8 to 7
        Mar 28, 2014 to Sep 4, 2014
      • Private funds · 5 to 6
        Mar 28, 2014 to Sep 4, 2014
      • Discretionary RAUM · $373M to $392M
        Mar 28, 2014 to Sep 4, 2014
      • RAUM · $373M to $392M
        Mar 28, 2014 to Sep 4, 2014
      Signals
      2 dated events
      • F••••• F•••••• • C••••••• L•• reported RAUM $442.8M, up 39% from $318.1M (2018-04-27 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • F••••• F•••••• • C••••••• L•• reported RAUM $321.9M, down 39% from $531.5M (2017-05-19 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      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