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

A•••••••• C•••••• I••••••••• L••

Former SEC-registered adviserGeorge Town, Grand Cayman, CRD 158886SEC 801-72757IAPD
Latest filing Mar 28, 2019
First filing on the tape Mar 28, 2012 · 11 filings
RAUM
$26.7M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$29.1M gross assets
History
11 filings and snapshots on the tape
RAUM$26.7M as of Mar 28, 2019
Mar 28, 2012$190M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 28, 20120 then
Employees (5.A)3 as of Mar 28, 2019
Mar 28, 20133 then
Private funds3 as of Mar 28, 2019
Mar 28, 20123 then
RAUM -54% over the last fiscal year-2.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
$6.7MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-54%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
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 discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$26.7M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••••• D•••••• T•••••• F•••no longer reportedHedge Fund$156M34Mar 28, 2012
      A•••••••• T•••••• S••••••••• F••• L••••••no longer reportedHedge Fund$41.3M24Jul 1, 2015
      A•••••••• K•••••• F••• L••••••no longer reportedHedge Fund$30.0M16Mar 28, 2012
      A•••••••• K•••••• M••••• F••• L••••••Hedge Fund$18.3M12Mar 28, 2013
      A•••••••• D•••••• T•••••• M••••• F•••Hedge Fund$6.4M10Mar 28, 2013
      A•••••••• V••••• M••••• F••• L••••••Hedge Fund$4.3M1Nov 16, 2015
      A•••••••• S••••••• F••• L••••••no longer reportedHedge Fund$3.9M3Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• M•••••• · Directorcontrol
        since 10/2004 · owns less than 5%
      • D••••••••• M•••• W•••••• · General Counsel & Ccocontrol
        since 01/2017 · owns less than 5%
      • F••••• M••• · Directorcontrol
        since 01/2013 · owns less than 5%
      • H•••••••• J•••• D• · Cfo / Coocontrol
        since 03/2005 · owns less than 5%
      • L••••••• G•••• •••• · Directorcontrol
        since 01/2007 · owns less than 5%
      • S••••••••• K••••••• •••• · Chief Executive Officercontrol
        since 01/2004 · owns less than 5%
      • H•••••••• N•••••• J••• · Indirect Ownercontrol
        since 06/2016 · owns 25% to 50% of A•••••••• C•••••• ••••••••• L••••••
      • S••••••••• K••••••• •••• · Indirect Ownercontrol
        since 06/2016 · owns 75% or more of K•• N••••••• L•••••• And K•• C••••••••• L••••••
      • P•••••••• P•••• A•••••••• J••• · Director
        since 06/2016 · owns less than 5%
      Entity owners
      • A•••••••• C•••••• ••••••••• L•••••• · Sole Direct Owner
        direct · owns 75% or more
      • K•• C••••••••• L•••••• · Indirect Owner
        indirect · owns 50% to 75% of W••••••• Investments L••••••
      • K•• N••••••• L•••••• · Indirect Owner
        indirect · owns 25% to 50% of W••••••• Investments L••••••
      • W••••••• I••••••••• L••• · Indirect Owner
        indirect · owns 50% to 75% of A•••••••• C•••••• ••••••••• L••••••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Mar 23, 2018 to Mar 28, 2019
      • Advisory activities · 2 to 1
        Mar 23, 2018 to Mar 28, 2019
      • Charity clients · unset to 0.0
        Mar 23, 2018 to Mar 28, 2019
      • Corporate clients · unset to 0.0
        Mar 23, 2018 to Mar 28, 2019
      • HNW clients · unset to 0.0
        Mar 23, 2018 to Mar 28, 2019
      • Individual clients · unset to 0.0
        Mar 23, 2018 to Mar 28, 2019
      • Pension plan clients · unset to 0.0
        Mar 23, 2018 to Mar 28, 2019
      • Discretionary RAUM · $58.1M to $26.7M
        Mar 23, 2018 to Mar 28, 2019
      • HNW RAUM · unset to 0.0
        Mar 23, 2018 to Mar 28, 2019
      • Individual RAUM · unset to 0.0
        Mar 23, 2018 to Mar 28, 2019
      • Pension RAUM · unset to 0.0
        Mar 23, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $29.1M to $26.7M
        Mar 23, 2018 to Mar 28, 2019
      • RAUM · $58.1M to $26.7M
        Mar 23, 2018 to Mar 28, 2019
      • Accounts · 4 to 5
        Mar 27, 2017 to Mar 23, 2018
      • Advisory activities · 1 to 2
        Mar 27, 2017 to Mar 23, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 27, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Mar 27, 2017 to Mar 23, 2018
      • Discretionary RAUM · $35.3M to $58.1M
        Mar 27, 2017 to Mar 23, 2018
      • Pooled vehicle RAUM · unset to 29068619.0
        Mar 27, 2017 to Mar 23, 2018
      • RAUM · $35.3M to $58.1M
        Mar 27, 2017 to Mar 23, 2018
      • Discretionary RAUM · $28.8M to $35.3M
        Mar 14, 2016 to Mar 27, 2017
      • RAUM · $28.8M to $35.3M
        Mar 14, 2016 to Mar 27, 2017
      • Accounts · 3 to 4
        Nov 16, 2015 to Mar 14, 2016
      • Advisory activities · 2 to 1
        Nov 16, 2015 to Mar 14, 2016
      • Private funds · 4 to 3
        Nov 16, 2015 to Mar 14, 2016
      • Discretionary RAUM · $41.3M to $28.8M
        Nov 16, 2015 to Mar 14, 2016
      • RAUM · $41.3M to $28.8M
        Nov 16, 2015 to Mar 14, 2016
      • Private funds · 3 to 4
        Jul 1, 2015 to Nov 16, 2015
      • Accounts · 5 to 3
        Jun 2, 2015 to Jul 1, 2015
      • Discretionary RAUM · $44.9M to $41.3M
        Jun 2, 2015 to Jul 1, 2015
      • RAUM · $44.9M to $41.3M
        Jun 2, 2015 to Jul 1, 2015
      • Discretionary RAUM · $58.6M to $44.9M
        Mar 28, 2014 to Mar 2, 2015
      • RAUM · $58.6M to $44.9M
        Mar 28, 2014 to Mar 2, 2015
      • Discretionary RAUM · $257M to $58.6M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $257M to $58.6M
        Mar 28, 2013 to Mar 28, 2014
      • Accounts · 3 to 5
        Mar 28, 2012 to Mar 28, 2013
      • Advisory employees · unset to 2.0
        Mar 28, 2012 to Mar 28, 2013
      • Advisory activities · 1 to 2
        Mar 28, 2012 to Mar 28, 2013
      • Employees · unset to 3.0
        Mar 28, 2012 to Mar 28, 2013
      • Discretionary RAUM · $190M to $257M
        Mar 28, 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