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

M••••••••• T•• M••••••••• C••• L••

Former SEC-registered adviserCross River, New YorkCRD 159536SEC 801-73857websiteIAPD
Latest filing Aug 1, 2025
First filing on the tape Feb 14, 2012 · 20 filings
SEC status approved since Mar 30, 2012
RAUM
$158M
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
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$158M as of Aug 1, 2025
Mar 28, 2013$489M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 1, 2025
Mar 28, 20130 then
Employees (5.A)6 as of Aug 1, 2025
Mar 28, 20138 then
Private funds4 as of Aug 1, 2025
Mar 28, 20136 then
RAUM -19% over the last fiscal year-28% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 1, 2025; 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
$39.4MderivedRAUM 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
-19%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, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$158M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••••• T••••••••• V•••• P••••••• I•• L•••Private Equity Fund$116M65Feb 14, 2012
      M••••••••• T••••••••• V•••• P••••••• I•••• L•••Private Equity Fund$51.6M20Feb 14, 2012
      M••••••••• N•• H••••••• •••• L••Venture Capital Fund$17.1M11Mar 30, 2020
      M••••••••• T••••••••• V•••• P••••••• I• •••••••• L•••no longer reportedPrivate Equity Fund$13.4M8Feb 14, 2012
      M••••••••• T••••••••• V•••• P••••••• I• ••••••••• L•••no longer reportedPrivate Equity Fund$10.5M3Mar 28, 2013
      M••••••••• N•• H••••••• •••• I••••••••• L••Venture Capital Fund$8.2M2Mar 29, 2019
      M••••••••• N•• H••••••• •••••••• L••no longer reportedVenture Capital Fund$3.8M10Mar 31, 2021
      M••••••••• N•• H••••••• •••••••• L••no longer reportedVenture Capital Fund$1.9M2Mar 29, 2019
      M••••••••• T••••••••• V•••• P••••••• ••••• L•••Private Equity Fund$1.0M2Feb 14, 2012
      M••••••••• T••••••••• V•••• P•••••••• L•••Private Equity Fund$986,28943Feb 14, 2012
      M••••••••• N•• H••••••• •••••• L••no longer reportedVenture Capital Fund$4352Mar 29, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• D•••••• L• · Managing Partnercontrol
        since 12/2004 · owns less than 5%
      • G••••• J•••••••• S••••• · Chief Compliance Officer / Chief Financial Officercontrol
        since 05/2008 · owns less than 5%
      • S•••••••• S•••••• L••••••• · Managing Partnercontrol
        since 12/2004 · owns less than 5%
      • S•••••••• S•••••• L••••••• · Ownercontrol
        since 12/2004 · owns 75% or more of T••• L•
      Entity owners
      • T••• L• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • M••••••••• N•• H••••••• I• G•• L•
        pooled vehicle sponsorn
      • M••••••••• N•• H••••••• M••••••••• L••
        investment advisern
      • M••••••••• T••••••••• V•••• P••••••• I•• G•• L•••
        pooled vehicle sponsorn
      • M••••••••• T••••••••• V•••• P••••••• M••••••••• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Belgrade, MT1 employees
      What changed
      consecutive filings, newest first
      • HQ city · NEW YORK to CROSS RIVER
        Mar 31, 2025 to Aug 1, 2025
      • Accounts · 6 to 4
        Jun 26, 2024 to Mar 31, 2025
      • Advisory employees · 4 to 5
        Jun 26, 2024 to Mar 31, 2025
      • Pooled vehicle clients · 6 to 4
        Jun 26, 2024 to Mar 31, 2025
      • Employees · 5 to 6
        Jun 26, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Jun 26, 2024 to Mar 31, 2025
      • Private funds · 6 to 4
        Jun 26, 2024 to Mar 31, 2025
      • Discretionary RAUM · $195M to $158M
        Jun 26, 2024 to Mar 31, 2025
      • Pooled vehicle RAUM · $195M to $158M
        Jun 26, 2024 to Mar 31, 2025
      • RAUM · $195M to $158M
        Jun 26, 2024 to Mar 31, 2025
      • Discretionary RAUM · $225M to $195M
        Mar 31, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $225M to $195M
        Mar 31, 2023 to Mar 28, 2024
      • RAUM · $225M to $195M
        Mar 31, 2023 to Mar 28, 2024
      • Accounts · 8 to 6
        Mar 31, 2022 to Mar 31, 2023
      • Advisory employees · 7 to 4
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 8 to 6
        Mar 31, 2022 to Mar 31, 2023
      • Employees · 8 to 5
        Mar 31, 2022 to Mar 31, 2023
      • Private funds · 8 to 6
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $414M to $225M
        Mar 31, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $414M to $225M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $414M to $225M
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 12 to 8
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 6 to 7
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 12 to 8
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 7 to 8
        Mar 31, 2021 to Mar 31, 2022
      • Private funds · 12 to 8
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $433M to $414M
        Mar 31, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $433M to $414M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $433M to $414M
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 11 to 12
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 11 to 12
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 11 to 12
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $380M to $433M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $380M to $433M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $380M to $433M
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 10 to 11
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 10 to 11
        Mar 29, 2019 to Mar 30, 2020
      • Private funds · 10 to 11
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $363M to $380M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $363M to $380M
        Mar 29, 2019 to Mar 30, 2020
      Signals
      2 dated events
      • M••••••••• T•• M••••••••• C••• L•• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $157.5M)
        Mar 2, 2026 · Left the SEC roster · derived
      • M••••••••• T•• M••••••••• C••• L•• reported RAUM $224.9M, down 46% from $413.6M (2022-03-31 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
      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