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••••••• M••••••••• C••• I•••

Former SEC-registered adviserNew York, New YorkCRD 160461SEC 801-73658IAPD
Latest filing Mar 8, 2018
First filing on the tape Feb 14, 2012 · 14 filings
RAUM
$850M
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
1
beyond the principal office
Private funds
5
$850M gross assets
History
14 filings and snapshots on the tape
RAUM$850M as of Mar 8, 2018
Mar 19, 2013$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 8, 2018
Mar 19, 20130 then
Employees (5.A)8 as of Mar 8, 2018
Mar 19, 201312 then
Private funds5 as of Mar 8, 2018
Mar 19, 20137 then
RAUM -20% over the last fiscal year-41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 8, 2018; 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
$170MderivedRAUM 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
-20%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 pooled vehiclesreportedItem 5.G
Custody
$850M, 5 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
  • Pooled investment vehicles$850M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$850M for 5 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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• O••••••• F••• L•••Hedge Fund$378M39Feb 14, 2012
      S••••••• C•••••• P•••••••• L•Hedge Fund$294M37Feb 14, 2012
      S••••••• D•••••••• I••••••• F••• O••••••• L•••no longer reportedHedge Fund$87.7M1Feb 14, 2012
      F•••••• I•••••••• B•••••• L••••••no longer reportedHedge Fund$83.0M1Mar 4, 2016
      S••••••• I••••• O••••••••• F•••• L•Hedge Fund$76.1M15Feb 14, 2012
      S••••••• I••••• O••••••••• F•••• L•••Hedge Fund$69.7M14Feb 14, 2012
      S••••••• C•••••• P••••••• I• L•Hedge Fund$32.6M29Feb 14, 2012
      I•• M•••••••• 3• L••••••no longer reportedHedge Fund$29.9M1May 24, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••• M••••••• G••••• · Portfolio Manager And Co-Chief Executive Officercontrol
        since 01/1995 · owns 50% to 75%
      • S••••••••• P•••• C••••• · Portfolio Manager And Co-Chief Executive Officercontrol
        since 01/1995 · owns 50% to 75%
      • K•••••• J•••••• R••• · Chief Compliance Officer
        since 04/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••••••• C•••••• M••••••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Palm Beach, FL1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 5
        Mar 1, 2017 to Mar 8, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 1, 2017 to Mar 8, 2018
      • Assets in custody · $1.1B to $850M
        Mar 1, 2017 to Mar 8, 2018
      • Other offices · unset to 1.0
        Mar 1, 2017 to Mar 8, 2018
      • Discretionary RAUM · $1.1B to $850M
        Mar 1, 2017 to Mar 8, 2018
      • Pooled vehicle RAUM · unset to 849742229.0
        Mar 1, 2017 to Mar 8, 2018
      • RAUM · $1.1B to $850M
        Mar 1, 2017 to Mar 8, 2018
      • Accounts · 8 to 5
        Oct 21, 2016 to Mar 1, 2017
      • Advisory employees · 13 to 8
        Oct 21, 2016 to Mar 1, 2017
      • Advisory activities · 2 to 1
        Oct 21, 2016 to Mar 1, 2017
      • Assets in custody · $3.5B to $1.1B
        Oct 21, 2016 to Mar 1, 2017
      • Employees · 13 to 8
        Oct 21, 2016 to Mar 1, 2017
      • Private funds · 7 to 5
        Oct 21, 2016 to Mar 1, 2017
      • Discretionary RAUM · $3.0B to $1.1B
        Oct 21, 2016 to Mar 1, 2017
      • RAUM · $3.0B to $1.1B
        Oct 21, 2016 to Mar 1, 2017
      • Private funds · 8 to 7
        Apr 29, 2016 to Jun 27, 2016
      • Advisory employees · 15 to 13
        Nov 16, 2015 to Mar 4, 2016
      • Employees · 15 to 13
        Nov 16, 2015 to Mar 4, 2016
      • Private funds · 7 to 8
        Nov 16, 2015 to Mar 4, 2016
      • Discretionary RAUM · $3.5B to $3.0B
        Nov 16, 2015 to Mar 4, 2016
      • RAUM · $3.5B to $3.0B
        Nov 16, 2015 to Mar 4, 2016
      • Accounts · 7 to 8
        Mar 19, 2015 to Nov 16, 2015
      • Advisory employees · 14 to 15
        Mar 19, 2015 to Nov 16, 2015
      • Assets in custody · $4.2B to $3.5B
        Mar 19, 2015 to Nov 16, 2015
      • Employees · 14 to 15
        Mar 19, 2015 to Nov 16, 2015
      • Discretionary RAUM · $4.2B to $3.5B
        Mar 19, 2015 to Nov 16, 2015
      • RAUM · $4.2B to $3.5B
        Mar 19, 2015 to Nov 16, 2015
      • Advisory employees · 13 to 14
        Mar 10, 2014 to Mar 19, 2015
      • Assets in custody · $0 to $4.2B
        Mar 10, 2014 to Mar 19, 2015
      • Custody of client assets · false to true
        Mar 10, 2014 to Mar 19, 2015
      • Employees · 13 to 14
        Mar 10, 2014 to Mar 19, 2015
      • Discretionary RAUM · $3.3B to $4.2B
        Mar 10, 2014 to Mar 19, 2015
      • RAUM · $3.3B to $4.2B
        Mar 10, 2014 to Mar 19, 2015
      • Advisory employees · 12 to 13
        Dec 13, 2013 to Mar 10, 2014
      • Employees · 12 to 13
        Dec 13, 2013 to Mar 10, 2014
      • Discretionary RAUM · $2.7B to $3.3B
        Dec 13, 2013 to Mar 10, 2014
      • RAUM · $2.7B to $3.3B
        Dec 13, 2013 to Mar 10, 2014
      • Custody of client assets · true to false
        Mar 19, 2013 to Jun 17, 2013
      • Advisory employees · unset to 12.0
        May 24, 2012 to Mar 19, 2013
      • BD registered reps · unset to 0.0
        May 24, 2012 to Mar 19, 2013
      Signals
      No event on the tape.
      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