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

P••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 160153SEC 801-79405IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 15, 2012 · 13 filings
RAUM
$163M
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
14
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$163M as of Mar 29, 2019
Feb 9, 2015$137M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Feb 9, 20150 then
Employees (5.A)14 as of Mar 29, 2019
Feb 9, 20159 then
Private funds1 as of Mar 29, 2018
Feb 9, 20151 then
RAUM +77% over the last fiscal year-10% 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
$163MderivedRAUM 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
+77%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$163M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••••• D•••••• G••••• M•••• M••••• F••• L•Hedge Fund$65.4M9Aug 1, 2014
      P•••• I• F••• L•no longer reportedHedge Fund$28.3M7Mar 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • N•••• Z•• · Chief Investment Officercontrol
        since 11/2016 · owns less than 5%
      • T••••• L••••• · Chief Compliance Officercontrol
        since 08/2014 · owns less than 5%
      • P•••••••• J•••• · Owner Managercontrol
        since 03/2011 · owns 75% or more of R••••• H••••• L••
      • P•••••• S•••••• D••••• · Owner Managercontrol
        since 08/2014 · owns 75% or more of T•••• C•••• C•••••• L•
      Entity owners
      • P••••••••• G• L•• · General Partner
        direct · owns less than 5%
      • R••••• H••••• L•• · Limited Partner
        direct · owns 10% to 25%
      • T•••• C•••• C•••••• L• · Limited Partner
        direct · owns 25% to 50%
      • R••••• H••••• L•• · Owner
        indirect · owns 25% to 50% of P••••••••• G• L••
      • S• P••••• H••••••• C••••••••• · General Partner
        indirect · owns F of T•••• C•••• C•••••• L•
      • S• P••••• H••••••• L• · Majority Owner
        indirect · owns 25% to 50% of P••••••••• G• L••
      • C••• S••••• V•••••••• I••• · Limited Partner
        direct · owns less than 5%
      • P••••• L•• · Limited Partner
        direct · owns 5% to 10%
      • S•• C•• S•• I••• · Limited Partner
        direct · owns 10% to 25%
      • T•••••• F••••• L• · Limited Partner
        direct · owns less than 5%
      • S•• H••••••• I••• · Owner
        indirect · owns 75% or more of S•• C•• S•• I••• · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA2 employees
      What changed
      consecutive filings, newest first
      • Employees · 13 to 14
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 5 to 1
        Mar 29, 2018 to Mar 29, 2019
      • Advisory activities · 2 to 1
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 3 to 0
        Mar 29, 2018 to Mar 29, 2019
      • Private funds · 1 to unset
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $91.9M to $163M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $65.4M to $0
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $91.9M to $163M
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 4 to 5
        May 2, 2017 to Mar 29, 2018
      • Advisory employees · 7 to 4
        May 2, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        May 2, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        May 2, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        May 2, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        May 2, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        May 2, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        May 2, 2017 to Mar 29, 2018
      • Employees · 12 to 13
        May 2, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        May 2, 2017 to Mar 29, 2018
      • Discretionary RAUM · $85.0M to $91.9M
        May 2, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 65356087.0
        May 2, 2017 to Mar 29, 2018
      • RAUM · $85.0M to $91.9M
        May 2, 2017 to Mar 29, 2018
      • HQ city · BOSTON to NEW YORK
        Mar 31, 2017 to May 2, 2017
      • HQ state · MA to NY
        Mar 31, 2017 to May 2, 2017
      • Advisory employees · 4 to 7
        Mar 30, 2016 to Mar 31, 2017
      • Advisory activities · 3 to 2
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 11 to 12
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $224M to $85.0M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $224M to $85.0M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 3 to 4
        Feb 9, 2015 to Mar 30, 2016
      • Advisory employees · 5 to 4
        Feb 9, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 3
        Feb 9, 2015 to Mar 30, 2016
      • Employees · 9 to 11
        Feb 9, 2015 to Mar 30, 2016
      • Discretionary RAUM · $137M to $224M
        Feb 9, 2015 to Mar 30, 2016
      • RAUM · $137M to $224M
        Feb 9, 2015 to Mar 30, 2016
      • Accounts · 2 to 3
        Sep 5, 2014 to Feb 9, 2015
      • Advisory employees · 3 to 5
        Sep 5, 2014 to Feb 9, 2015
      • Advisory activities · 1 to 2
        Sep 5, 2014 to Feb 9, 2015
      • Assets in custody · 90800000.0 to unset
        Sep 5, 2014 to Feb 9, 2015
      • Custody of client assets · true to false
        Sep 5, 2014 to Feb 9, 2015
      • Employees · 7 to 9
        Sep 5, 2014 to Feb 9, 2015
      Signals
      4 dated events
      • Wucker Robert Tishman (General Partner) no longer on Schedule A of P••••••••• L• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Hall Clifford Friedman (Owner) no longer on Schedule A of P••••••••• L• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Joseph Robert Dubner (Chief Technology Officer) no longer on Schedule A of P••••••••• L• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • P••••••••• L• filed its initial SEC registration (Form ADV)
        Mar 14, 2014 · First SEC registration · fact
      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