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

D•••••••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 159954SEC 801-74028IAPD
Latest filing Oct 29, 2015
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$1.1B
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
13
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$1.0B gross assets
History
7 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2015
Mar 19, 2013$2.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 19, 20130 then
Employees (5.A)12 as of Mar 31, 2015
Mar 19, 201319 then
Private funds5 as of Mar 31, 2015
Mar 19, 20136 then
RAUM +0.4% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 29, 2015; 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
$151MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+0.4%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 individuals, portfolio management for businesses and institutions, 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
7reported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••••••• A••••••••• O•••••••• L•••no longer reportedHedge Fund$325M14Feb 14, 2012
      D•••••••• O••••••• L• L••no longer reportedHedge Fund$298M8Feb 14, 2012
      D•••••••• A••••••••• O••••••••• F•••• L•no longer reportedHedge Fund$34.7M30Feb 14, 2012
      N•••••••• C•••••• L•Hedge Fund$12.6M3Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • E•••••••• B••••••• J••••• · General Partnercontrol
        since 09/2015 · owns 25% to 50%
      • F••••••••• J•••• A•••• · General Partnercontrol
        since 09/2015 · owns 50% to 75%
      • G••••••••• L••••••• K••••• · Chief Financial Officercontrol
        since 11/2004 · owns less than 5%
      • M•••••• B••••••••• · Chief Compliance Officercontrol
        since 09/2015 · owns less than 5%
      • B•••••• J•••••••• J•••• M••••••• · General Partner
        since 09/2015 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • D•••••••• C••••••• L••
        bankpooled vehicle sponsory
      • D•••••••• E••••••••• ••• L••
        pooled vehicle sponsory
      • L•••• R•••• ••• L••
        pooled vehicle sponsory
      • T•••••••• M••••••••• G• L••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Rowayton, CT
      • San Francisco, CA
      What changed
      consecutive filings, newest first
      • Business name · D•••••••• C•••••• M••••••••• L•• to D•••••••• C•••••• M••••••••• L•
        Oct 13, 2015 to Oct 29, 2015
      • Legal name · D•••••••• C•••••• M••••••••• L•• to D•••••••• C•••••• M••••••••• L•
        Oct 13, 2015 to Oct 29, 2015
      • Employees · 12 to 13
        Mar 31, 2015 to Oct 13, 2015
      • Organization form · Limited Liability Company to Limited Partnership
        Mar 31, 2015 to Oct 13, 2015
      • Advisory activities · 2 to 3
        Sep 11, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.1B to $1.1B
        Sep 11, 2014 to Mar 31, 2015
      • RAUM · $1.1B to $1.1B
        Sep 11, 2014 to Mar 31, 2015
      • Advisory employees · 9 to 6
        Mar 31, 2014 to Sep 11, 2014
      • Employees · 15 to 12
        Mar 31, 2014 to Sep 11, 2014
      • Accounts · 6 to 7
        Mar 19, 2013 to Mar 31, 2014
      • Advisory activities · 1 to 2
        Mar 19, 2013 to Mar 31, 2014
      • Employees · 19 to 15
        Mar 19, 2013 to Mar 31, 2014
      • Private funds · 6 to 5
        Mar 19, 2013 to Mar 31, 2014
      • Discretionary RAUM · $2.0B to $1.1B
        Mar 19, 2013 to Mar 31, 2014
      • RAUM · $2.0B to $1.1B
        Mar 19, 2013 to Mar 31, 2014
      • Accounts · 7 to 6
        Feb 14, 2012 to Mar 19, 2013
      • Advisory employees · unset to 9.0
        Feb 14, 2012 to Mar 19, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 19, 2013
      • Employees · unset to 19.0
        Feb 14, 2012 to Mar 19, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 19, 2013
      • Private funds · 7 to 6
        Feb 14, 2012 to Mar 19, 2013
      • Discretionary RAUM · $2.3B to $2.0B
        Feb 14, 2012 to Mar 19, 2013
      • RAUM · $2.3B to $2.0B
        Feb 14, 2012 to Mar 19, 2013
      • Related bank · false to true
        Feb 14, 2012 to Mar 19, 2013
      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
      Across the graphs

      D•••••••• C•••••• M••••••••• L• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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