DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

R•••• B•••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 160373SEC 801-73700IAPD
Latest filing Mar 29, 2019
First filing on the tape Feb 14, 2012 · 12 filings
RAUM
$1.1B
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$1.9B gross assets
History
12 filings and snapshots on the tape
RAUM$1.1B as of Mar 29, 2019
Mar 27, 2013$350M then
HNW client RAUM$0 as of Mar 29, 2019
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 27, 20130 then
Employees (5.A)8 as of Mar 29, 2019
Mar 27, 201315 then
Private funds3 as of Mar 29, 2019
Mar 27, 20133 then
RAUM -35% over the last fiscal year-8.4% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$562MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
16%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
-35%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
$944M, 1 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$944M84%
  • Pension and profit-sharing plans$181M16%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$944M for 1 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••• B•••• M••••• F•••• L•Hedge Fund$19.2M56Feb 14, 2012
      R•••• B•••• I••••••••• L•••Hedge Fund$9.2M13Feb 14, 2012
      R•••• B•••• P•••••••• L•Hedge Fund$8.8M41Feb 14, 2012
      P• R•••• B•••• L•••Hedge Fund$7.0M4Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• M•••••• G••••• · Chief Compliance Officer, Chief Financial Officercontrol
        since 05/2011 · owns less than 5%
      • K•••• J•••• A•••••••• · Managing Membercontrol
        since 01/2010 · owns 50% to 75%
      • M••••• I••• H••••••• H• · Managing Membercontrol
        since 01/2010 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • R•••• B•••• C•••••• G•• L••
        pooled vehicle sponsorn
      • R•••• B•••• C•••••• P••••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 2
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 12 to 5
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 3 to 1
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $1.3B to $944M
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 17 to 8
        Mar 29, 2018 to Mar 29, 2019
      • Other offices · 1 to 0
        Mar 29, 2018 to Mar 29, 2019
      • Private funds · 4 to 3
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $1.7B to $1.1B
        Mar 29, 2018 to Mar 29, 2019
      • Pension RAUM · $388M to $181M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.3B to $944M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $1.7B to $1.1B
        Mar 29, 2018 to Mar 29, 2019
      • Related bank · true to false
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 3 to 4
        Mar 28, 2017 to Mar 29, 2018
      • Advisory employees · 13 to 12
        Mar 28, 2017 to Mar 29, 2018
      • Advisory activities · 1 to 2
        Mar 28, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 1.0
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 28, 2017 to Mar 29, 2018
      • Assets in custody · unset to 1322381635.0
        Mar 28, 2017 to Mar 29, 2018
      • Custody of client assets · false to true
        Mar 28, 2017 to Mar 29, 2018
      • Employees · 18 to 17
        Mar 28, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.4B to $1.7B
        Mar 28, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Mar 28, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 387519744.0
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1329945192.0
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $1.4B to $1.7B
        Mar 28, 2017 to Mar 29, 2018
      • Advisory employees · 10 to 13
        Mar 28, 2016 to Mar 28, 2017
      • Employees · 15 to 18
        Mar 28, 2016 to Mar 28, 2017
      • Discretionary RAUM · $1.5B to $1.4B
        Mar 28, 2016 to Mar 28, 2017
      • RAUM · $1.5B to $1.4B
        Mar 28, 2016 to Mar 28, 2017
      • Accounts · 2 to 3
        Jul 30, 2015 to Mar 28, 2016
      • Advisory employees · 11 to 10
        Jul 30, 2015 to Mar 28, 2016
      • Employees · 16 to 15
        Jul 30, 2015 to Mar 28, 2016
      • Discretionary RAUM · $1.3B to $1.5B
        Jul 30, 2015 to Mar 28, 2016
      • RAUM · $1.3B to $1.5B
        Jul 30, 2015 to Mar 28, 2016
      Signals
      1 dated events
      • ••• Locked
        Mar 29, 2019 · RAUM change · derived
      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