DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

S••••••••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 158843SEC 801-72700IAPD

Latest filing Jul 6, 2015

First filing on the tape Mar 28, 2012 · 8 filings

RAUM

$68.0M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$70.4M gross assets

History

8 filings and snapshots on the tape

RAUM$190M as of Mar 25, 2015

Mar 28, 2012$325M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 25, 2015

Mar 28, 20120 then

Employees (5.A)3 as of Mar 25, 2015

Mar 27, 20136 then

Private funds2 as of Mar 25, 2015

Mar 28, 20122 then

RAUM -66% over the last fiscal year-41% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jul 6, 2015; 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: $9.7MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -5.0%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: $22.5M, 5 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)
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

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: 7reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $22.5M for 5 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 departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••••••••• T••••••••• F•••• L••	Hedge Fund	$63.6M	90	Mar 28, 2012
S••••••••• M••••••••• P•••••••• L•••	Hedge Fund	$6.8M	6	Mar 28, 2012

Owners and control persons

Schedule A and B, latest filing

T•••••• B•••••••• J•••• · Chief Compliance Officercontrol
since 07/2015 · owns 75% or more

Entity owners

B•• G••• T•••• · Ownership Is For The Benefit Of Ben T•••••'S Children
indirect · owns 25% to 50% of B•• G••• T•••• Is A Family Trust

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Las Vegas, NV

What changed

consecutive filings, newest first

Employees · 3 to 2
Jul 6, 2015 to Jul 6, 2015
Financial planning clients · unset to 1-10
Jul 6, 2015 to Jul 6, 2015
Discretionary RAUM · $190M to $68.0M
Jul 6, 2015 to Jul 6, 2015
RAUM · $190M to $68.0M
Jul 6, 2015 to Jul 6, 2015
Advisory employees · 6 to 2
Mar 11, 2014 to Mar 25, 2015
Assets in custody · $67.0M to $22.5M
Mar 11, 2014 to Mar 25, 2015
Employees · 7 to 3
Mar 11, 2014 to Mar 25, 2015
Discretionary RAUM · $200M to $190M
Mar 11, 2014 to Mar 25, 2015
RAUM · $200M to $190M
Mar 11, 2014 to Mar 25, 2015
Assets in custody · $243M to $67.0M
Apr 26, 2013 to Mar 11, 2014
Employees · 6 to 7
Apr 26, 2013 to Mar 11, 2014
Discretionary RAUM · $340M to $200M
Apr 26, 2013 to Mar 11, 2014
RAUM · $340M to $200M
Apr 26, 2013 to Mar 11, 2014
Assets in custody · $243,000 to $243M
Mar 27, 2013 to Apr 26, 2013
Advisory employees · unset to 6.0
Mar 28, 2012 to Mar 27, 2013
Assets in custody · unset to 243000.0
Mar 28, 2012 to Mar 27, 2013
Custody of client assets · false to true
Mar 28, 2012 to Mar 27, 2013
Employees · unset to 6.0
Mar 28, 2012 to Mar 27, 2013
Discretionary RAUM · $325M to $340M
Mar 28, 2012 to Mar 27, 2013
RAUM · $325M to $340M
Mar 28, 2012 to Mar 27, 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