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•••• M••••••••• A••••••• L•••••

Former SEC-registered adviserNew York, New YorkCRD 159252SEC 801-72867IAPD
Latest filing Mar 30, 2017
First filing on the tape Nov 23, 2011 · 12 filings
RAUM
$28.5M
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
14
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$28.5M gross assets
History
12 filings and snapshots on the tape
RAUM$28.5M as of Mar 30, 2017
Mar 30, 2012$432M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 30, 20120 then
Employees (5.A)14 as of Mar 30, 2017
Apr 1, 201318 then
Private funds1 as of Mar 30, 2017
Mar 30, 20121 then
RAUM -80% over the last fiscal year-67% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$7.1MderivedRAUM 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
-80%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
  • 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)
  • 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
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• A••••••••• S••• H•••••••• L•••Hedge Fund$28.5M91Mar 30, 2012
      T•••• K••••••• P•••••••• L•••Hedge Fund$3.5M2Dec 4, 2012
      T•••• T•• H••• P•••••••• L•••Hedge Fund$02Dec 4, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••••• A••••••••• T••••• · Presidentcontrol
        since 06/2011 · owns less than 5%
      • R••••••••• J•••••• H••• · Trusteecontrol
        since 12/2005 · owns 75% or more of J••••• H• R•••••••• J•• R•••••••• T••••
      • C••••••• W••••••• G•••••••• · Chief Investment Officer
        since 06/2011 · owns less than 5%
      • D•••• S••••• S•••••• · Chief Financial Officer
        since 06/2011 · owns less than 5%
      • S••••••• S••••• M••••••• · Chief Compliance Officer
        since 06/2016 · owns less than 5%
      Entity owners
      • T•••• M••••••••• H••••••• L••••• · Sole Member
        direct · owns 75% or more
      • J••••• H• R•••••••• J•• R•••••••• T•••• · Sole Member
        indirect · owns 75% or more of T•••• M••••••••• H••••••• L•••••
      • U••• T•••• C•••••• O• D••••••• · Trustee
        indirect · owns F of J••••• H• R•••••••• J•• R•••••••• T••••
      Related persons
      Schedule D 7.A
      • T•••• A••••••••• G• L•••
        investment adviserbankpooled vehicle sponsorn
      • T•••• A••••••••• H••••••• L•••
        investment adviserbankpooled vehicle sponsorn
      • T•••• A••••••••• L•••••
        investment adviserbankpooled vehicle sponsorn
      • T•••• M••••••••• L•••••
        bankn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        Jun 30, 2016 to Mar 30, 2017
      • Employees · 13 to 14
        Jun 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $144M to $28.5M
        Jun 30, 2016 to Mar 30, 2017
      • RAUM · $144M to $28.5M
        Jun 30, 2016 to Mar 30, 2017
      • Accounts · 6 to 4
        Mar 1, 2016 to Mar 30, 2016
      • Advisory employees · 4 to 3
        Mar 1, 2016 to Mar 30, 2016
      • Employees · 14 to 13
        Mar 1, 2016 to Mar 30, 2016
      • Private funds · 3 to 1
        Mar 1, 2016 to Mar 30, 2016
      • Discretionary RAUM · $311M to $144M
        Mar 1, 2016 to Mar 30, 2016
      • RAUM · $311M to $144M
        Mar 1, 2016 to Mar 30, 2016
      • Employees · 17 to 14
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $799M to $311M
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $799M to $311M
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 5 to 4
        Apr 1, 2013 to Mar 28, 2014
      • Employees · 18 to 17
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $881M to $799M
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $881M to $799M
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $839M to $881M
        Dec 4, 2012 to Apr 1, 2013
      • RAUM · $839M to $881M
        Dec 4, 2012 to Apr 1, 2013
      • Related adviser · false to true
        Dec 4, 2012 to Apr 1, 2013
      • Accounts · 4 to 6
        Mar 30, 2012 to Dec 4, 2012
      • Advisory employees · unset to 5.0
        Mar 30, 2012 to Dec 4, 2012
      • Employees · unset to 18.0
        Mar 30, 2012 to Dec 4, 2012
      • Private funds · 1 to 3
        Mar 30, 2012 to Dec 4, 2012
      • Discretionary RAUM · $432M to $839M
        Mar 30, 2012 to Dec 4, 2012
      • RAUM · $432M to $839M
        Mar 30, 2012 to Dec 4, 2012
      • Assets in custody · 0.0 to unset
        Nov 23, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 23, 2011 to Mar 30, 2012
      • Private funds · unset to 1
        Nov 23, 2011 to Mar 30, 2012
      • Discretionary RAUM · $427M to $432M
        Nov 23, 2011 to Mar 30, 2012
      • RAUM · $427M to $432M
        Nov 23, 2011 to Mar 30, 2012
      • Related bank · false to true
        Nov 23, 2011 to Mar 30, 2012
      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