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

W••••••••• • C••• L•••

Former SEC-registered adviserNew York, New YorkCRD 160339SEC 801-74075IAPD
Latest filing Mar 30, 2020
First filing on the tape Feb 14, 2012 · 13 filings
RAUM
$458M
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
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$651M gross assets
History
13 filings and snapshots on the tape
RAUM$458M as of Mar 30, 2020
Mar 27, 2013$433M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 27, 20130 then
Employees (5.A)8 as of Mar 30, 2020
Mar 27, 201328 then
Private funds6 as of Mar 30, 2020
Mar 27, 20135 then
RAUM -21% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$76.3MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-21%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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$373M, 6 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)
  • 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
  • Pooled investment vehicles$458M100%
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
$373M for 6 clientsreported
Compensation
% of AUM, fixed, 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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      U••• E••••• P••••••• I• •••• P••••••••• L•••Private Equity Fund$91.9M2Feb 14, 2012
      U••• E••••• P••••••• I• ••••••••• L•••Private Equity Fund$25.5M12Feb 14, 2012
      U••• E••••• P••••••• I•• L•••Private Equity Fund$4.6M3Feb 14, 2012
      U••• E••••• P••••••• I• •••• P•••••••• D••••••• S•••••••• T••••Private Equity Fund$989,9802Mar 30, 2015
      W• S••• V••••••• I•• L•no longer reportedVenture Capital Fund$524,0329Feb 14, 2012
      U••• E••••• P••••••• I• ••••••••• D••••••• S•••••••• T••••Private Equity Fund$220,08612Mar 30, 2015
      W••••••••• R• C••••••••• L•no longer reportedPrivate Equity Fund$84,7869Mar 30, 2015
      U••• E••••• P••••••• I• D••••••• S•••••••• T••••Private Equity Fund$51,4573Mar 30, 2015
      W••••••••• H•• C••••••••• L•no longer reportedPrivate Equity Fund$35,6352Mar 31, 2014
      W••••••••• P••••••• I•• ••• A•••• L•no longer reportedPrivate Equity Fund$5,2273Mar 30, 2015
      W••••••••• C••••• C••••••••• L•no longer reportedPrivate Equity Fund$5,00017Mar 31, 2014
      W••••••••• C••••••••• L•no longer reportedPrivate Equity Fund$03Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• A•••• •••• · Co-Managing Partnercontrol
        since 01/2001 · owns less than 5%
      • F•••••••• R•••••• A••••• · Managing Directorcontrol
        since 01/2001 · owns less than 5%
      • J••••• E••••• B•••••• · Chairmancontrol
        since 06/2011 · owns less than 5%
      • M••••••• G•••••• L•••• · Co-Managing Partnercontrol
        since 01/2001 · owns less than 5%
      • M•••••••• S••••••••• R•••••• · General Counsel / Chief Compliance Officercontrol
        since 02/2020 · owns less than 5%
      • M••••••• R•••••• S• · Chief Financial Officer, Secretarycontrol
        since 01/2001 · owns less than 5%
      Entity owners
      • W••••••••• C••••••• L••• · Limited Partner
        direct · owns 75% or more
      • W••••••••• I••••••••• L••••• · General Partner
        direct · owns less than 5%
      • C•••• L•• · Member
        indirect · owns 25% to 50% of W••••••••• H•••••••• L•••••
      • C•••• L•• · Limited Partner
        indirect · owns 25% to 50% of W••••••••• C••••••• L•••
      • W••••••••• F••••• T••••• L••••• · Limited Partner
        indirect · owns 25% to 50% of W••••••••• C••••••• L•••
      • W••••••••• F••••• T••••• L••••• · Member
        indirect · owns 25% to 50% of W••••••••• H•••••••• L•••••
      • W••••••••• H•••••••• L••••• · Sole Member
        indirect · owns 75% or more of W••••••••• I••••••••• L•••••
      • W••••••••• I••••••••• L••••• · General Partner
        indirect · owns F of W••••••••• C••••••• L•••
      Related persons
      Schedule D 7.A
      • E•••••••• C••••••• L•
        investment advisernRAUM $4.4B
      • E•••••••• P••••••• I•• •••• L•
        investment adviserbankpooled vehicle sponsorn
      • E•••••••• P••••••• I•• ••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • E•••••••• P••••••• I• •••• L•
        investment adviserbankpooled vehicle sponsorn
      • E•••••••• P••••••• V• •••• L•
        investment adviserbankpooled vehicle sponsorn
      • E••••••••• •••• L••
        investment adviserpooled vehicle sponsorn
      • P••••••••• M••••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Los Angeles, CA1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 6
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 19 to 4
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 12 to 6
        Mar 29, 2019 to Mar 30, 2020
      • Assets in custody · $377M to $373M
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 31 to 8
        Mar 29, 2019 to Mar 30, 2020
      • Private funds · 12 to 6
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $579M to $458M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $579M to $458M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $579M to $458M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 15 to 12
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 16 to 19
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 15 to 12
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $511M to $377M
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 27 to 31
        Mar 29, 2018 to Mar 29, 2019
      • Private funds · 15 to 12
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $728M to $579M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $728M to $579M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $728M to $579M
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 17 to 15
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 17 to 16
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 15.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $558M to $511M
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 29 to 27
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Private funds · 17 to 15
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $761M to $728M
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 727684997.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $761M to $728M
        Mar 30, 2017 to Mar 29, 2018
      • Related bank · false to true
        Mar 30, 2017 to Mar 29, 2018
      • Accounts · 19 to 17
        Nov 2, 2016 to Mar 30, 2017
      • Advisory employees · 24 to 17
        Nov 2, 2016 to Mar 30, 2017
      • Assets in custody · $0 to $558M
        Nov 2, 2016 to Mar 30, 2017
      • Custody of client assets · false to true
        Nov 2, 2016 to Mar 30, 2017
      • Employees · 35 to 29
        Nov 2, 2016 to Mar 30, 2017
      • Private funds · 18 to 17
        Nov 2, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.2B to $761M
        Nov 2, 2016 to Mar 30, 2017
      • RAUM · $1.2B to $761M
        Nov 2, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.1B to $1.2B
        Mar 30, 2016 to Nov 2, 2016
      • RAUM · $1.1B to $1.2B
        Mar 30, 2016 to Nov 2, 2016
      • Accounts · 16 to 19
        Feb 5, 2016 to Mar 30, 2016
      Signals
      1 dated events
      • Ritrivi Stephanie Mccavitt (General Counsel / Chief Compliance Officer) appeared on Schedule A of W••••••••• • C••• L•••
        Mar 30, 2020 · Control person joined · fact
      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