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

O•••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 160242SEC 801-73610IAPD
Latest filing Mar 11, 2016
First filing on the tape Feb 14, 2012 · 6 filings
RAUM
$192M
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$65.6M gross assets
History
6 filings and snapshots on the tape
RAUM$192M as of Mar 11, 2016
Mar 19, 2013$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2016
Mar 19, 20130 then
Employees (5.A)6 as of Mar 11, 2016
Mar 19, 20135 then
Private funds2 as of Mar 11, 2016
Mar 19, 20132 then
RAUM -8.0% over the last fiscal year+5.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2016; 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
$32.0MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-8.0%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$31.9M, 2 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
  • 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)
  • 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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$31.9M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•••• M••••• F•••• L•Hedge Fund$54.0M12Feb 14, 2012
      O•••• D••••••• L••Private Equity Fund$2.5M9Mar 19, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• M••••••• L••••••• · Chief Financial Officer, Chief Compliance Officercontrol
        since 09/2010 · owns less than 5%
      • M••••••••• D••••• M•••••• · Managing Member, Chief Investment Officercontrol
        since 06/2010 · owns 25% to 50%
      • R•••• C••••• P•••••• · Managing Member, Founding Partnercontrol
        since 06/2010 · owns 25% to 50%
      • M••••• S••••• A•••• · Founding Partner
        since 06/2010 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • O•••• A••••••••• L••
        pooled vehicle sponsorn
      • O•••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Beachwood, OH
      • Wilton, CT
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Nov 10, 2015 to Mar 11, 2016
      • Assets in custody · $37.9M to $31.9M
        Nov 10, 2015 to Mar 11, 2016
      • Discretionary RAUM · $209M to $192M
        Nov 10, 2015 to Mar 11, 2016
      • RAUM · $209M to $192M
        Nov 10, 2015 to Mar 11, 2016
      • Accounts · 5 to 6
        Mar 24, 2014 to Mar 20, 2015
      • Assets in custody · $52.0M to $37.9M
        Mar 24, 2014 to Mar 20, 2015
      • Employees · 5 to 6
        Mar 24, 2014 to Mar 20, 2015
      • Discretionary RAUM · $209M to $209M
        Mar 24, 2014 to Mar 20, 2015
      • RAUM · $209M to $209M
        Mar 24, 2014 to Mar 20, 2015
      • Assets in custody · $7.3M to $52.0M
        Mar 19, 2013 to Mar 24, 2014
      • Discretionary RAUM · $166M to $209M
        Mar 19, 2013 to Mar 24, 2014
      • RAUM · $166M to $209M
        Mar 19, 2013 to Mar 24, 2014
      • Accounts · 4 to 5
        Feb 14, 2012 to Mar 19, 2013
      • Advisory employees · unset to 4.0
        Feb 14, 2012 to Mar 19, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 19, 2013
      • Assets in custody · unset to 7275000.0
        Feb 14, 2012 to Mar 19, 2013
      • Custody of client assets · false to true
        Feb 14, 2012 to Mar 19, 2013
      • Employees · unset to 5.0
        Feb 14, 2012 to Mar 19, 2013
      • Financial planning clients · 0 to unset
        Feb 14, 2012 to Mar 19, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 19, 2013
      • Private funds · 1 to 2
        Feb 14, 2012 to Mar 19, 2013
      • Discretionary RAUM · $104M to $166M
        Feb 14, 2012 to Mar 19, 2013
      • RAUM · $104M to $166M
        Feb 14, 2012 to Mar 19, 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