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.

Former SEC-registered adviser

Secor Capital Advisors, LP

Former SEC-registered adviserNew York, New YorkCRD 159603SEC 801-73038IAPD
Latest filing Mar 29, 2019
First filing on the tape Jan 9, 2012 · 26 filings
RAUM
$1.2B
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
35
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$574M gross assets
History
26 filings and snapshots on the tape
RAUM$1.2B as of Mar 29, 2019
Mar 25, 2013$72.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 25, 20130 then
Employees (5.A)35 as of Mar 29, 2019
Mar 25, 201324 then
Private funds1 as of Mar 29, 2019
Mar 25, 20131 then
RAUM -56% over the last fiscal year+8.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$290MderivedRAUM 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
-56%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
$574M, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$574M100%
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
$574M 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Secor Alpha Master Fund, LPHedge Fund$574M34Dec 10, 2012
      Secor Msw Fund Spcno longer reportedHedge Fund$336M29Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • Leigh Pattie Hand · Chief Compliance Officer / General Counselcontrol
        since 12/2015 · owns less than 5%
      • Pinar Saide Ilgar · Chief Financial Officercontrol
        since 09/2016 · owns less than 5%
      • Joseph Raymond Iwanowski · Chief Executive Officer/Chief Investment Officercontrol
        since 10/2011 · owns less than 5%
      • Joseph Raymond Iwanowski · Managing Member And Co-Chief Executive Officercontrol
        since 08/2010 · owns 50% to 75% of Secor Partners, LLC
      • Joseph Raymond Iwanowski · Limited Partnercontrol
        since 08/2010 · owns 25% to 50% of Secor Asset Management, LP
      • Tony Duen-Li Kao · Managing Member And Co-Chief Executive Officercontrol
        since 08/2010 · owns 50% to 75% of Secor Partners, LLC
      • Tony Duen-Li Kao · Limited Partnercontrol
        since 08/2010 · owns 25% to 50% of Secor Asset Management, LP
      Entity owners
      • Secor Asset Management, LP · Limited Partner
        direct · owns 75% or more
      • Secor Partners III, LLC · General Partner
        direct · owns less than 5%
      • Secor Partners, LLC · General Partner
        indirect · owns F of Secor Asset Management, LP
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 12 to 10
        Nov 12, 2018 to Mar 29, 2019
      • Assets in custody · $2.0B to $574M
        Nov 12, 2018 to Mar 29, 2019
      • Employees · 37 to 35
        Nov 12, 2018 to Mar 29, 2019
      • Discretionary RAUM · $2.6B to $1.2B
        Nov 12, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.0B to $574M
        Nov 12, 2018 to Mar 29, 2019
      • RAUM · $2.6B to $1.2B
        Nov 12, 2018 to Mar 29, 2019
      • Accounts · 6 to 4
        Sep 22, 2017 to Mar 29, 2018
      • Advisory employees · 9 to 12
        Sep 22, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Sep 22, 2017 to Mar 29, 2018
      • Assets in custody · $1.5B to $2.0B
        Sep 22, 2017 to Mar 29, 2018
      • Employees · 35 to 37
        Sep 22, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Sep 22, 2017 to Mar 29, 2018
      • Private funds · 2 to 1
        Sep 22, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.3B to $2.6B
        Sep 22, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1977604060.0
        Sep 22, 2017 to Mar 29, 2018
      • RAUM · $2.3B to $2.6B
        Sep 22, 2017 to Mar 29, 2018
      • Accounts · 5 to 6
        Oct 6, 2016 to Mar 31, 2017
      • Advisory employees · 12 to 9
        Oct 6, 2016 to Mar 31, 2017
      • Assets in custody · $908M to $1.5B
        Oct 6, 2016 to Mar 31, 2017
      • Employees · 24 to 35
        Oct 6, 2016 to Mar 31, 2017
      • Discretionary RAUM · $908M to $2.3B
        Oct 6, 2016 to Mar 31, 2017
      • RAUM · $908M to $2.3B
        Oct 6, 2016 to Mar 31, 2017
      • Accounts · 3 to 5
        Dec 3, 2015 to Mar 30, 2016
      • Advisory employees · 14 to 12
        Dec 3, 2015 to Mar 30, 2016
      • Assets in custody · $493M to $908M
        Dec 3, 2015 to Mar 30, 2016
      • Employees · 25 to 24
        Dec 3, 2015 to Mar 30, 2016
      • Private funds · 1 to 2
        Dec 3, 2015 to Mar 30, 2016
      • Discretionary RAUM · $493M to $908M
        Dec 3, 2015 to Mar 30, 2016
      • RAUM · $493M to $908M
        Dec 3, 2015 to Mar 30, 2016
      • Accounts · 4 to 3
        Sep 16, 2014 to Mar 25, 2015
      • Advisory employees · 13 to 14
        Sep 16, 2014 to Mar 25, 2015
      • Assets in custody · $150M to $493M
        Sep 16, 2014 to Mar 25, 2015
      • Employees · 22 to 25
        Sep 16, 2014 to Mar 25, 2015
      • Discretionary RAUM · $500M to $493M
        Sep 16, 2014 to Mar 25, 2015
      • RAUM · $500M to $493M
        Sep 16, 2014 to Mar 25, 2015
      • Discretionary RAUM · $165M to $500M
        Apr 9, 2014 to Apr 17, 2014
      • RAUM · $165M to $500M
        Apr 9, 2014 to Apr 17, 2014
      • Accounts · 3 to 4
        Nov 27, 2013 to Mar 28, 2014
      • Advisory employees · 14 to 13
        Nov 27, 2013 to Mar 28, 2014
      • Advisory activities · 1 to 2
        Nov 27, 2013 to Mar 28, 2014
      Signals
      1 dated events
      • Secor Capital Advisors, Lp reported RAUM $1.2B, down 56% from $2.6B (2018-11-12 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      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