DFX Intelligence
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Former SEC-registered adviser
7•• A•••• M••••••••• L••
Latest filing Mar 28, 2013
First filing on the tape Feb 9, 2012 · 9 filings
RAUM
$391M
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
10
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$391M gross assets
History
9 filings and snapshots on the tape
RAUM$391M as of Mar 28, 2013
Feb 9, 2012$173M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Nov 9, 20120 then
Employees (5.A)10 as of Mar 28, 2013
Nov 9, 201210 then
Private funds3 as of Mar 28, 2013
Feb 9, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; 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
- $130MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- $391M, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
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
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $391M 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 7•• O•••••••• L••• | Hedge Fund | $191M | 11 | Feb 9, 2012 |
| 7•• I••••••••• P•••••••• L••• | Hedge Fund | $110M | 12 | Feb 9, 2012 |
| 7•• P•••••••• L••• | Hedge Fund | $90.0M | 33 | Feb 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• W••••••• •••• · Chief Financial Officercontrolsince 01/2010 · owns less than 5%
- L••• D••••••• K••• · Chief Executive Officercontrolsince 05/2005 · owns 75% or more
- P••••• S••••• A•• · Chief Compliance Officercontrolsince 01/2009 · owns less than 5%
- Y••• V•••••••• •••• · Chief Operating Officercontrolsince 05/2005 · owns less than 5%
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
- Assets in custody · $252M to $391MMar 25, 2013 to Mar 28, 2013
- Discretionary RAUM · $252M to $391MMar 25, 2013 to Mar 28, 2013
- RAUM · $252M to $391MMar 25, 2013 to Mar 28, 2013
- Assets in custody · $398M to $252MDec 11, 2012 to Mar 25, 2013
- Discretionary RAUM · $398M to $252MDec 11, 2012 to Mar 25, 2013
- RAUM · $398M to $252MDec 11, 2012 to Mar 25, 2013
- Advisory employees · unset to 7.0Jun 21, 2012 to Nov 9, 2012
- BD registered reps · unset to 0.0Jun 21, 2012 to Nov 9, 2012
- Employees · unset to 10.0Jun 21, 2012 to Nov 9, 2012
- State-registered IARs · unset to 0.0Jun 21, 2012 to Nov 9, 2012
- Assets in custody · $192M to $398MApr 30, 2012 to Jun 21, 2012
- Discretionary RAUM · $192M to $398MApr 30, 2012 to Jun 21, 2012
- RAUM · $192M to $398MApr 30, 2012 to Jun 21, 2012
- Assets in custody · $173M to $192MFeb 13, 2012 to Apr 30, 2012
- Discretionary RAUM · $173M to $192MFeb 13, 2012 to Apr 30, 2012
- RAUM · $173M to $192MFeb 13, 2012 to Apr 30, 2012
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