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

I••••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 159769SEC 801-74361IAPD
Latest filing Apr 1, 2014
First filing on the tape Feb 17, 2012 · 7 filings
RAUM
$156M
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
9
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$156M gross assets
History
7 filings and snapshots on the tape
RAUM$156M as of Mar 31, 2014
Apr 1, 2013$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Apr 1, 20130 then
Employees (5.A)9 as of Mar 31, 2014
Apr 1, 20138 then
Private funds2 as of Mar 31, 2014
Apr 1, 20132 then
RAUM -12% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2014; 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
$52.0MderivedRAUM 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
-12%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
Custody
$156M, 3 clientsreportedItem 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
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
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$156M 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
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••••••• M••••• F••• L•••Hedge Fund$120M2Feb 17, 2012
      I••••••• C•••••• O••••••••• F••• L•no longer reportedPrivate Equity Fund$27.2M55Feb 17, 2012
      I••••••• E••••• M••••• F•••• L•Hedge Fund$26.8M1Apr 1, 2013
      I•• M•••••••• I• L••no longer reportedOther Private Fund$4.1M24Feb 17, 2012
      A•• P••••••• I• L••no longer reportedOther Private Fund$3.8M17Feb 17, 2012
      L•• P••••••• I• L••no longer reportedOther Private Fund$3.0M6Feb 17, 2012
      P••• S••••• F••• L••no longer reportedOther Private Fund$2.9M1Feb 17, 2012
      M••• P••••••• 1• L••no longer reportedOther Private Fund$2.0M14Feb 17, 2012
      I••• 2••• L••Other Private Fund$1.5M14Mar 31, 2022
      P•••• R•••• O••• L••no longer reportedOther Private Fund$1.0M2Feb 17, 2012
      S•••••••• O•• C•••no longer reportedOther Private Fund$1.0M1Feb 17, 2012
      G••• R••• P••••••• I• L••no longer reportedOther Private Fund$1.0M13Feb 17, 2012
      P••• E••••• P•••••••• L••no longer reportedOther Private Fund$375,0611Feb 17, 2012
      L•••••••• I••••••••• C•••••• L••Other Private Fund$015Mar 29, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• R••••••• K•••••• · Managing Directorcontrol
        since 06/2003 · owns 25% to 50%
      • S••••• J••••• B••••• · Member/Owner I••••••• E••••• A••••••• L••control
        since 02/2013 · owns 50% to 75%
      • S••••••••• J••••• · Member/Ownercontrol
        since 06/2003 · owns 25% to 50%
      • A•••• C••••• · Trusteecontrol
        since 06/2003 · owns F of Na
      • A•••• L••• T••••••• · Trusteecontrol
        since 06/2011 · owns F of Na
      • A•••• R••••••• K•••••• · Beneficiarycontrol
        since 06/2003 · owns 75% or more of T•• M•••• A••• I••••••••• T••••
      • C••••• S•••• J•••• · Member/Owner
        since 06/2003 · owns 10% to 25%
      • G••••••• K•••••••• M• · Chief Compliance Officer
        since 03/2014 · owns less than 5%
      Entity owners
      • I••••••• C•••••• M••••••••• L•• · Member/Owner I••••••• E••••• A••••••• L••
        direct · owns 25% to 50%
      • T•• M•••• A••• I••••••••• T•••• · Member/Owner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • I••••••• C•••••• P•••••••• L••
        pooled vehicle sponsory
      • I••••••• E••••• A••••••• L••
        investment advisery
      • I••••••• E••••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Scarsdale, NY
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Apr 11, 2013 to Mar 31, 2014
      • Advisory employees · 7 to 8
        Apr 11, 2013 to Mar 31, 2014
      • Assets in custody · $178M to $156M
        Apr 11, 2013 to Mar 31, 2014
      • Employees · 8 to 9
        Apr 11, 2013 to Mar 31, 2014
      • Discretionary RAUM · $178M to $156M
        Apr 11, 2013 to Mar 31, 2014
      • RAUM · $178M to $156M
        Apr 11, 2013 to Mar 31, 2014
      • Accounts · 4 to 2
        Mar 2, 2012 to Apr 1, 2013
      • Advisory employees · unset to 7.0
        Mar 2, 2012 to Apr 1, 2013
      • Advisory activities · 2 to 1
        Mar 2, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Mar 2, 2012 to Apr 1, 2013
      • Assets in custody · $157M to $178M
        Mar 2, 2012 to Apr 1, 2013
      • Employees · unset to 8.0
        Mar 2, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 2, 2012 to Apr 1, 2013
      • Private funds · 11 to 2
        Mar 2, 2012 to Apr 1, 2013
      • Discretionary RAUM · $157M to $178M
        Mar 2, 2012 to Apr 1, 2013
      • RAUM · $157M to $178M
        Mar 2, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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