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

T•••••• I••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 159185SEC 801-73151IAPD
Latest filing Sep 21, 2016
First filing on the tape Feb 3, 2012 · 7 filings
RAUM
$298M
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
1
$290M gross assets
History
7 filings and snapshots on the tape
RAUM$298M as of Mar 28, 2016
Feb 27, 2013$629M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2016
Feb 27, 20130 then
Employees (5.A)5 as of Mar 28, 2016
Feb 27, 20138 then
Private funds1 as of Mar 28, 2016
Feb 27, 20131 then
RAUM -15% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 21, 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
$49.6MderivedRAUM 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
-15%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 vehicles, otherreportedItem 5.G
Custody
$290M, 3 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)
  • 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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$290M for 3 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V•••••• F••• L•••Hedge Fund$57.8M12Feb 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • N••••••••• K••••••••• · Managing Membercontrol
        since 06/1998 · owns 75% or more
      • R•••• W••••••• M•••• · Chief Operating Officercontrol
        since 03/2009 · owns less than 5%
      • V•• S•••• F••••••• L•• · Chief Compliance Officercontrol
        since 02/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      • T•••••• A•••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 6
        Mar 26, 2015 to Mar 28, 2016
      • Assets in custody · $352M to $290M
        Mar 26, 2015 to Mar 28, 2016
      • Discretionary RAUM · $352M to $298M
        Mar 26, 2015 to Mar 28, 2016
      • RAUM · $352M to $298M
        Mar 26, 2015 to Mar 28, 2016
      • Accounts · 6 to 3
        Mar 19, 2014 to Mar 26, 2015
      • Advisory employees · 4 to 2
        Mar 19, 2014 to Mar 26, 2015
      • Assets in custody · $507M to $352M
        Mar 19, 2014 to Mar 26, 2015
      • Employees · 7 to 5
        Mar 19, 2014 to Mar 26, 2015
      • Discretionary RAUM · $524M to $352M
        Mar 19, 2014 to Mar 26, 2015
      • RAUM · $524M to $352M
        Mar 19, 2014 to Mar 26, 2015
      • Advisory employees · 5 to 4
        Feb 27, 2013 to Mar 19, 2014
      • Assets in custody · $751M to $507M
        Feb 27, 2013 to Mar 19, 2014
      • Employees · 8 to 7
        Feb 27, 2013 to Mar 19, 2014
      • Discretionary RAUM · $629M to $524M
        Feb 27, 2013 to Mar 19, 2014
      • RAUM · $629M to $524M
        Feb 27, 2013 to Mar 19, 2014
      • Accounts · 7 to 6
        Jul 2, 2012 to Feb 27, 2013
      • Advisory employees · unset to 5.0
        Jul 2, 2012 to Feb 27, 2013
      • BD registered reps · unset to 0.0
        Jul 2, 2012 to Feb 27, 2013
      • Assets in custody · $567M to $751M
        Jul 2, 2012 to Feb 27, 2013
      • Employees · unset to 8.0
        Jul 2, 2012 to Feb 27, 2013
      • State-registered IARs · unset to 0.0
        Jul 2, 2012 to Feb 27, 2013
      • Discretionary RAUM · $635M to $629M
        Jul 2, 2012 to Feb 27, 2013
      • RAUM · $635M to $629M
        Jul 2, 2012 to Feb 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