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

B••• R•••• C•••••• C••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 160487SEC 801-73648IAPD
Latest filing Mar 31, 2014
First filing on the tape Feb 14, 2012 · 3 filings
RAUM
$484M
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
7
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$484M gross assets
History
3 filings and snapshots on the tape
RAUM$484M as of Mar 31, 2014
Mar 28, 2013$547M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 28, 20130 then
Employees (5.A)7 as of Mar 31, 2014
Mar 28, 201310 then
Private funds2 as of Mar 31, 2014
Mar 28, 20132 then
RAUM -11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2014; 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
$242MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-11%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
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
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
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••• R•••• C•••• P••••••• I•• L•••Private Equity Fund$391M165Feb 14, 2012
      B••• R•••• C•••• P•••••••• L•••Private Equity Fund$93.3M79Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• J•••• A•••••• · Chief Executive Officercontrol
        since 12/2005 · owns 75% or more
      • Q••• J••••• J•• · Chief Compliance Officer And Cco And Cfo Of Relying Advisercontrol
        since 07/2009 · owns less than 5%
      • Q•••••••• A•••••• A••• · General Counselcontrol
        since 09/2009 · owns less than 5%
      • T•••• J•••••• Y•• · President/Coo - Relying Advisercontrol
        since 05/2006 · owns less than 5%
      • G••••••• J•••• A•••••• · Managing Membercontrol
        since 01/2012 · owns 75% or more of B•••• L••
      • G••••••• J•••• A•••••• · Managing Membercontrol
        since 12/2003 · owns 75% or more of J• P•••••• H•••••••• L••
      Entity owners
      • B•••• L•• · Partner
        direct · owns less than 5%
      • J• P•••••• H•••••••• L•• · Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Chaoyang, B••••••, China
      • Tarrytown, NY
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 1
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 10 to 7
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $547M to $484M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $547M to $484M
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · unset to 5.0
        Feb 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Assets in custody · $311M to $0
        Feb 14, 2012 to Mar 28, 2013
      • Custody of client assets · true to false
        Feb 14, 2012 to Mar 28, 2013
      • Employees · unset to 10.0
        Feb 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $594M to $547M
        Feb 14, 2012 to Mar 28, 2013
      • RAUM · $594M to $547M
        Feb 14, 2012 to Mar 28, 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