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

G••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 159505SEC 801-73013IAPD
Latest filing Mar 28, 2013
First filing on the tape Dec 23, 2011 · 4 filings
RAUM
$421M
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
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$344M gross assets
History
4 filings and snapshots on the tape
RAUM$421M as of Mar 28, 2013
Mar 30, 2012$741M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 8
Private funds3 as of Mar 28, 2013
Mar 30, 20125 then
RAUM -43% over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; 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
$84.1MderivedRAUM 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
-43%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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
5reported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••••• P••••••• M••••• L•Hedge Fund$23.9M15Dec 23, 2011
      G••••••• G••••• P••••••• •••• M••••• F•••• L•Hedge Fund$22.9M17Dec 23, 2011
      G••••••• G••••• P••••••• ••• L•Hedge Fund$19.6M19Dec 23, 2011
      G••••••• G••••• P••••••• ••••• I•••Hedge Fund$16.3M3Aug 1, 2013
      N••••• R•••••• P••••••• M••••• L•Hedge Fund$10.4M10Dec 23, 2011
      G••••••• G••••• P•••••••• L•••Hedge Fund$5.4M14Dec 23, 2011
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M•••• C•••••• · Shareholdercontrol
        since 01/2004 · owns 10% to 25%
      • G•••• G••••• M••••••• · Chief Financial Officer/Chief Compliance Officercontrol
        since 02/2005 · owns less than 5%
      • K•••• M••••••• •••• · Presidentcontrol
        since 10/1994 · owns less than 5%
      • S••••••••• P•••••• F•••••••• · Trustee - K••• F••••• T••••control
        since 07/2010 · owns 75% or more
      • S•••••• W••••••• W••••• · Trustee - K••• F••••• T••••control
        since 07/2010 · owns 75% or more
      • S••••••••• P•••••• F•••••••• · Trusteecontrol
        since 07/2010 · owns F of K••• F••••• T••••
      • S•••••• W••••••• W••••• · Trusteecontrol
        since 07/2010 · owns F of K••• F••••• T••••
      Entity owners
      • K••• F••••• T•••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • G••••••• A•••• M••••••••• A••••••••• L•
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 5
        Feb 4, 2013 to Mar 28, 2013
      • Advisory employees · 8 to 5
        Feb 4, 2013 to Mar 28, 2013
      • Employees · 12 to 8
        Feb 4, 2013 to Mar 28, 2013
      • Private funds · 5 to 3
        Feb 4, 2013 to Mar 28, 2013
      • Discretionary RAUM · $741M to $421M
        Feb 4, 2013 to Mar 28, 2013
      • RAUM · $741M to $421M
        Feb 4, 2013 to Mar 28, 2013
      • Advisory employees · unset to 8.0
        Mar 30, 2012 to Feb 4, 2013
      • BD registered reps · unset to 0.0
        Mar 30, 2012 to Feb 4, 2013
      • Employees · unset to 12.0
        Mar 30, 2012 to Feb 4, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Feb 4, 2013
      • Discretionary RAUM · $713M to $741M
        Dec 23, 2011 to Mar 30, 2012
      • RAUM · $713M to $741M
        Dec 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