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•••••••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 160305SEC 801-73247IAPD
Latest filing Mar 30, 2016
First filing on the tape Feb 9, 2012 · 7 filings
RAUM
$13.4M
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
8
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$171M gross assets
History
7 filings and snapshots on the tape
RAUM$13.4M as of Mar 30, 2016
Mar 26, 2013$196M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 26, 20130 then
Employees (5.A)8 as of Mar 30, 2016
Mar 26, 20138 then
Private funds2 as of Mar 30, 2016
Mar 26, 20132 then
RAUM -92% over the last fiscal year-59% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$6.7MderivedRAUM 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
-92%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 pooled vehiclesreportedItem 5.G
Custody
$171M, 2 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
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
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$171M for 2 clientsreported
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•••••••• E••••• P••••••• I•• L•••Private Equity Fund$5.6M2Feb 9, 2012
      P•••••••• E••••• P•••••••• L•••Private Equity Fund$4.2M3Feb 9, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• K•••• · Chief Compliance Officercontrol
        since 03/2015 · owns less than 5%
      • H••••• J••••• · Managing Membercontrol
        since 06/2001 · owns 75% or more
      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
      • Discretionary RAUM · $171M to $13.4M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $171M to $13.4M
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $203M to $171M
        Sep 30, 2014 to Mar 31, 2015
      • Discretionary RAUM · $203M to $171M
        Sep 30, 2014 to Mar 31, 2015
      • RAUM · $203M to $171M
        Sep 30, 2014 to Mar 31, 2015
      • Assets in custody · $205M to $203M
        Mar 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $196M to $203M
        Mar 26, 2013 to Mar 31, 2014
      • RAUM · $196M to $203M
        Mar 26, 2013 to Mar 31, 2014
      • Advisory employees · unset to 6.0
        Feb 9, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Feb 9, 2012 to Mar 26, 2013
      • Assets in custody · $209M to $205M
        Feb 9, 2012 to Mar 26, 2013
      • Employees · unset to 8.0
        Feb 9, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Feb 9, 2012 to Mar 26, 2013
      • Discretionary RAUM · $209M to $196M
        Feb 9, 2012 to Mar 26, 2013
      • RAUM · $209M to $196M
        Feb 9, 2012 to Mar 26, 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