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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

L••• C•••• E••••• U••• L••

Former SEC-registered adviserWashington, District of ColumbiaCRD 160161SEC 801-73680IAPD
Latest filing Sep 19, 2014
First filing on the tape Feb 14, 2012 · 8 filings
RAUM
$116M
reported, Item 5.F
Discretionary
0.0%
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$116M gross assets
History
8 filings and snapshots on the tape
RAUM$116M as of Sep 19, 2014
Sep 28, 2012$215M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 19, 2014
Sep 27, 20130 then
Employees (5.A)5 as of Sep 19, 2014
Sep 27, 20137 then
Private funds1 as of Sep 19, 2014
Sep 28, 20121 then
RAUM -37% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 19, 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
$116MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-37%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L••• C•••• E••••• C••••••Private Equity Fund$132M75Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • O••••••• P••••• M•••••• · Elected Managercontrol
        since 07/2011 · owns less than 5%
      • P•••••••• J••••• R••••• · Chief Compliance Officer, Chief Financial Officer, Elected Managercontrol
        since 07/2011 · owns less than 5%
      Entity owners
      • L••• C•••• E••••• C•••••• · Owner And Sole Member
        direct · owns 75% or more
      • I•••••• L••• · Silent Owner
        indirect · owns 25% to 50% of L••• C•••• E••••• C••••••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 4
        Jun 6, 2014 to Sep 19, 2014
      • Employees · 7 to 5
        Jun 6, 2014 to Sep 19, 2014
      • Non-discretionary RAUM · $165M to $116M
        Jun 6, 2014 to Sep 19, 2014
      • RAUM · $165M to $116M
        Jun 6, 2014 to Sep 19, 2014
      • Non-discretionary RAUM · $185M to $165M
        Sep 27, 2013 to Jun 6, 2014
      • RAUM · $185M to $165M
        Sep 27, 2013 to Jun 6, 2014
      • Advisory employees · unset to 6.0
        Sep 28, 2012 to Nov 16, 2012
      • BD registered reps · unset to 0.0
        Sep 28, 2012 to Nov 16, 2012
      • Employees · unset to 7.0
        Sep 28, 2012 to Nov 16, 2012
      • State-registered IARs · unset to 0.0
        Sep 28, 2012 to Nov 16, 2012
      • Non-discretionary RAUM · $215M to $185M
        Sep 28, 2012 to Nov 16, 2012
      • RAUM · $215M to $185M
        Sep 28, 2012 to Nov 16, 2012
      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