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

S••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserGreenwich, ConnecticutCRD 160308SEC 801-73113websiteIAPD
Latest filing Mar 24, 2025
First filing on the tape Jan 30, 2012 · 24 filings
SEC status approved since Feb 21, 2012
RAUM
$155M
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
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
14
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$155M as of Mar 24, 2025
Apr 2, 2013$171M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2025
Apr 2, 20130 then
Employees (5.A)6 as of Mar 24, 2025
Apr 2, 20136 then
Private funds14 as of Mar 24, 2025
Apr 2, 20139 then
RAUM -24% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2025; 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
$5.8MderivedRAUM 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
-24%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$152M, 27 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$155M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
27reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$152M for 27 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
      32 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••••• S••• R•••Private Equity Fund$92.1M2Mar 30, 2018
      S••• L•••••• P••••••••• S••• L•••Private Equity Fund$74.2M23Mar 27, 2015
      S••• L•••••• P••••••••• 3• L•••no longer reportedPrivate Equity Fund$24.9M2Jan 30, 2012
      S••• L•••••• P••••••••• C•• •••••••• L•no longer reportedPrivate Equity Fund$21.5M13Mar 31, 2014
      S••• L•••••• P••••••••• 1• L•••no longer reportedPrivate Equity Fund$13.6M2Jan 30, 2012
      S••••••••• D•• R•••Private Equity Fund$11.7M8Mar 31, 2019
      S••• L•••••• P••••••••• G•• L•••no longer reportedPrivate Equity Fund$11.2M2Jan 30, 2012
      S••••••••• G••••• O••••••••• F••• I••• L•••Private Equity Fund$10.8M3Mar 31, 2021
      S••• L•••••• P••••••••• L•• L•••no longer reportedPrivate Equity Fund$9.7M2Jan 30, 2012
      S••• L•••••• P••••••••• S•• L•••no longer reportedPrivate Equity Fund$8.2M4Jan 30, 2012
      S••• L•••••• P••••••••• L•••• L•••no longer reportedPrivate Equity Fund$5.5M3Jan 30, 2012
      S••• L•••••• P••••••••• L••• M•••••• L•••no longer reportedPrivate Equity Fund$5.1M3Mar 27, 2015
      S••• L•••••• P••••••••• O••• L•••no longer reportedPrivate Equity Fund$4.4M23Apr 2, 2013
      S••••••••• S•• •••••••• L•••Private Equity Fund$4.4M9Mar 31, 2017
      S••• L•••••• P••••••••• C•• L•••no longer reportedPrivate Equity Fund$4.1M2Jan 30, 2012
      S••• L•••••• P••••••••• N••• L•••Private Equity Fund$3.7M14Mar 27, 2015
      S••• L•••••• P••••••••• L••• L•••no longer reportedPrivate Equity Fund$3.7M28Mar 31, 2014
      S••••••••• S• •••••••• L•••Private Equity Fund$3.4M18Mar 31, 2017
      S••••••••• B•• L•••Private Equity Fund$3.1M10Mar 31, 2017
      S••• L•••••• P••••••••• A••• L•••no longer reportedPrivate Equity Fund$1.7M10Jan 30, 2012
      S••••••••• R••• S••• L•••Private Equity Fund$1.5M1Mar 31, 2017
      S••••••••• R••• P•••• L•••Private Equity Fund$1.4M2Mar 31, 2017
      S••• L•••••• P••••••••• C• •••••••• L•••Private Equity Fund$1.4M14Mar 30, 2016
      S••••••••• A•• I• •••••••• L•••Private Equity Fund$816,31824Mar 30, 2016
      S••••••••• I••••••••• P••••••• R••• Y•••• L•••Private Equity Fund$815,4902Mar 31, 2017
      S••••••••• C•• •••••••• L•••Private Equity Fund$623,22024Mar 31, 2017
      S••••••••• I••••••••• P••••••• R••• B••• L•••Private Equity Fund$545,9871Mar 31, 2017
      S••••••••• I••••••••• P••••••• R••• T•••• L•••Private Equity Fund$506,8122Mar 31, 2017
      S••• L•••••• P••••••••• X• •••••••• L•••no longer reportedPrivate Equity Fund$018Mar 30, 2016
      S••• L•••••• P••••••••• O•• •••••••• L•••no longer reportedPrivate Equity Fund$08Mar 27, 2015
      S••••••••• M• •••••••• L•••no longer reportedPrivate Equity Fund$010Mar 30, 2018
      S••• L•••••• P••••••••• T••••• L•••no longer reportedPrivate Equity Fund$017Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J•••• R•••••• · Chief Compliance Officercontrol
        since 12/2005 · owns less than 5%
      • H•••••• C••••• R••••• · Managing Membercontrol
        since 12/2005 · owns 50% to 75%
      • K••••• H•••••• R•••• · Managing Partnercontrol
        since 12/2005 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • N••••• M••• C•••••• P•••••••• L••
        broker-dealerinvestment advisern
      • S••• G••••• C•• L•••
        pooled vehicle sponsory
      • S••• G••••• S••• L•••
        pooled vehicle sponsory
      • S••••••••• G••••• B•• L•••
        pooled vehicle sponsory
      • S••••••••• G••••• C••• L•••
        pooled vehicle sponsory
      • S••••••••• G••••• D••••• •••• L•••
        pooled vehicle sponsory
      • S••••••••• G••••• L•• S••
        pooled vehicle sponsory
      • S••••••••• G••••• R•••••• ••• L•
        pooled vehicle sponsory
      • S••••••••• G••••• S•• L•••
        pooled vehicle sponsory
      • S••••••••• G••••• O••••••••• F••• I•• G• S••
        pooled vehicle sponsory
      • S•• R••• G••••• B••• L•••
        pooled vehicle sponsory
      • S•• R••• G••••• P•••• L•••
        pooled vehicle sponsory
      • S•• R••• G••••• S••• L•••
        pooled vehicle sponsory
      • S•• R••• G••••• T•••• L•••
        pooled vehicle sponsory
      • S•• R••• G••••• Y•••• L•••
        pooled vehicle sponsory
      • S••• C•••••• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      • S••• G••••• N••• L•••
        pooled vehicle sponsory
      • T•• S••••••••• G•••• P•• L••
        broker-dealery
      • T•• S••••••••• G••••• I•••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $204M to $152M
        Mar 27, 2024 to Mar 24, 2025
      • Discretionary RAUM · $204M to $155M
        Mar 27, 2024 to Mar 24, 2025
      • Pooled vehicle RAUM · $204M to $155M
        Mar 27, 2024 to Mar 24, 2025
      • RAUM · $204M to $155M
        Mar 27, 2024 to Mar 24, 2025
      • Accounts · 29 to 27
        Mar 31, 2023 to Mar 27, 2024
      • Pooled vehicle clients · 29 to 27
        Mar 31, 2023 to Mar 27, 2024
      • Assets in custody · $246M to $204M
        Mar 31, 2023 to Mar 27, 2024
      • Private funds · 16 to 14
        Mar 31, 2023 to Mar 27, 2024
      • Discretionary RAUM · $274M to $204M
        Mar 31, 2023 to Mar 27, 2024
      • Pooled vehicle RAUM · $274M to $204M
        Mar 31, 2023 to Mar 27, 2024
      • RAUM · $274M to $204M
        Mar 31, 2023 to Mar 27, 2024
      • Related adviser · false to true
        Mar 31, 2023 to Mar 27, 2024
      • Accounts · 21 to 29
        Oct 13, 2022 to Mar 31, 2023
      • Advisory employees · 5 to 6
        Oct 13, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 16 to 29
        Oct 13, 2022 to Mar 31, 2023
      • Assets in custody · $319M to $246M
        Oct 13, 2022 to Mar 31, 2023
      • Employees · 5 to 6
        Oct 13, 2022 to Mar 31, 2023
      • Discretionary RAUM · $319M to $274M
        Oct 13, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $319M to $274M
        Oct 13, 2022 to Mar 31, 2023
      • RAUM · $319M to $274M
        Oct 13, 2022 to Mar 31, 2023
      • Related adviser · true to false
        Oct 13, 2022 to Mar 31, 2023
      • Accounts · 17 to 21
        Dec 6, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 17 to 16
        Dec 6, 2021 to Mar 31, 2022
      • Assets in custody · $333M to $319M
        Dec 6, 2021 to Mar 31, 2022
      • Private funds · 17 to 16
        Dec 6, 2021 to Mar 31, 2022
      • Discretionary RAUM · $362M to $319M
        Dec 6, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $362M to $319M
        Dec 6, 2021 to Mar 31, 2022
      • RAUM · $362M to $319M
        Dec 6, 2021 to Mar 31, 2022
      • Accounts · 18 to 17
        Mar 31, 2020 to Mar 31, 2021
      • Advisory employees · 6 to 5
        Mar 31, 2020 to Mar 31, 2021
      • BD registered reps · 6 to 4
        Mar 31, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 18 to 17
        Mar 31, 2020 to Mar 31, 2021
      • Employees · 6 to 5
        Mar 31, 2020 to Mar 31, 2021
      • HQ city · NEW YORK to GREENWICH
        Mar 31, 2020 to Mar 31, 2021
      • HQ state · NY to CT
        Mar 31, 2020 to Mar 31, 2021
      • Private funds · 18 to 17
        Mar 31, 2020 to Mar 31, 2021
      • Discretionary RAUM · $324M to $362M
        Mar 31, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $324M to $362M
        Mar 31, 2020 to Mar 31, 2021
      • RAUM · $324M to $362M
        Mar 31, 2020 to Mar 31, 2021
      • Accounts · 22 to 18
        Mar 31, 2019 to Mar 31, 2020
      Signals
      1 dated events
      • S••••••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $155.4M)
        Dec 20, 2025 · Left the SEC roster · derived
      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