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

E•••••• C•••••• M••••••••• I• L••

Former SEC-registered adviserNew York, New YorkCRD 157974SEC 801-73771IAPD
Latest filing Mar 28, 2014
First filing on the tape Feb 14, 2012 · 5 filings
RAUM
$31.2M
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$31.2M gross assets
History
5 filings and snapshots on the tape
RAUM$31.2M as of Mar 28, 2014
Mar 22, 2013$601M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 22, 20130 then
Employees (5.A)5 as of Mar 28, 2014
Mar 22, 20139 then
Private funds6 as of Mar 28, 2014
Mar 22, 20136 then
RAUM -95% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
$5.2MderivedRAUM 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
-95%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • 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
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
$0 for 0 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••• C•••••• R••••••••• C••••• I••••••••• L•••Private Equity Fund$12.2M3Feb 14, 2012
      O• R••••••••• C••••• C••••••••• L•••Private Equity Fund$9.0M4Feb 14, 2012
      E•••••• R••••••••• C••••• I••••••••• L•••Private Equity Fund$4.4M7Feb 14, 2012
      E•••••• C•••••• P••••••• I• ••••••••• L•Private Equity Fund$4.1M4Feb 14, 2012
      E•••••• C•••••• P••••••• I•• L•Private Equity Fund$1.3M4Feb 14, 2012
      O• F••••••• C••••••••• L•••Private Equity Fund$269,0454Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• D••••••• A••••• · Membercontrol
        since 07/2005 · owns 10% to 25%
      • M•••••••• L•••• M•••• · Chief Compliance Officer/Chief Financial Officercontrol
        since 09/2005 · owns less than 5%
      • S••••••• M•••• A•••• · Managing Membercontrol
        since 12/2004 · owns 25% to 50%
      • T••••• J•••••• R••••• · Membercontrol
        since 12/2004 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 2
        May 21, 2013 to Mar 28, 2014
      • BD registered reps · 5 to 2
        May 21, 2013 to Mar 28, 2014
      • Employees · 9 to 5
        May 21, 2013 to Mar 28, 2014
      • Discretionary RAUM · $405M to $31.2M
        May 21, 2013 to Mar 28, 2014
      • RAUM · $405M to $31.2M
        May 21, 2013 to Mar 28, 2014
      • Discretionary RAUM · $601M to $405M
        Mar 22, 2013 to May 21, 2013
      • RAUM · $601M to $405M
        Mar 22, 2013 to May 21, 2013
      • BD registered reps · 4 to 5
        Jan 31, 2013 to Mar 22, 2013
      • Employees · 8 to 9
        Jan 31, 2013 to Mar 22, 2013
      • Employees · unset to 8.0
        Feb 14, 2012 to Jan 31, 2013
      • Advisory employees · unset to 4.0
        Feb 14, 2012 to Jan 31, 2013
      • BD registered reps · unset to 4.0
        Feb 14, 2012 to Jan 31, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Jan 31, 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