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

H••••• C•••••• M••••••••• •••• L•••

Former SEC-registered adviserMiami, FloridaCRD 160592SEC 801-73841IAPD
Latest filing Mar 31, 2021
First filing on the tape Feb 14, 2012 · 16 filings
RAUM
$133M
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
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$2.6M gross assets
History
16 filings and snapshots on the tape
RAUM$214M as of Mar 30, 2020
Apr 1, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Apr 1, 20130 then
Employees (5.A)12 as of Mar 30, 2020
Apr 1, 201320 then
Private funds9 as of Mar 30, 2020
Apr 1, 20137 then
RAUM -58% over the last fiscal year-41% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
$22.1MderivedRAUM 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
-32%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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$133M, 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$133M100%
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
$133M 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••••••• I••••••••• P••••••• ••••• L•Private Equity Fund$4.8M24Mar 31, 2019
      S•• S•• I•• L•••Private Equity Fund$4.0M20Mar 31, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• N•••• Z•••••• · Chief Executive Officer; Chief Compliance Officercontrol
        since 06/2013 · owns less than 5%
      • A•••••••• J••••• · Trusteecontrol
        since 10/2012 · owns F of A••••••• C••••••••• D•••••• T•••• U•••• O•••••• 9• 2•••
      • A•••••••• N•••• Z•••••• · Managing Membercontrol
        since 07/2008 · owns 75% or more of A• T••••••• H•••••••• L••
      • A•••••••• N•••• Z•••••• · Trusteecontrol
        since 10/2012 · owns F of A••••••• F••••• D•••••• T•••• U•••• O•••••• 9• 2•••
      Entity owners
      • H••••• C•••••• M••• L•• · General Partner
        direct · owns 75% or more
      • A••••••• C••••••••• D•••••• T•••• U•••• O•••••• 9• 2••• · Limited Partner
        indirect · owns 50% to 75% of A••••••• P•••••••• L•••
      • A••••••• F••••• D•••••• T•••• U•••• O•••••• 9• 2••• · Limited Partner
        indirect · owns 50% to 75% of A••••••• P•••••••• L•••
      • A••••••• P•••••••• L••• · Managing Member
        indirect · owns 75% or more of H••••• C•••• E••••• E••••••••• L••
      • H••••• C•••• E••••• E••••••••• L•• · Managing Member
        indirect · owns 75% or more of H••••• S••••••••• I••••••••• L••
      • H••••• S••••••••• I••••••••• L•• · Managing Member
        indirect · owns 75% or more of H••••• C•••••• M••• L••
      • A• T••••••• H•••••••• L•• · Limited Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • H••••• C•••••• G•• L••
        pooled vehicle sponsorn
      • H••••• C•••••• S•••• I••••••••• G•• L•••
        pooled vehicle sponsorn
      • S•• S•• I• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 6
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 7 to 6
        Mar 30, 2020 to Mar 31, 2021
      • Advisory activities · 2 to 1
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 15 to 6
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $214M to $133M
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 12 to 11
        Mar 30, 2020 to Mar 31, 2021
      • HQ city · NEW YORK to MIAMI
        Mar 30, 2020 to Mar 31, 2021
      • HQ state · NY to FL
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 9 to 1
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $214M to $133M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $121M to $133M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $214M to $133M
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 9 to 7
        May 7, 2019 to Mar 30, 2020
      • Corporate clients · 3.0 to unset
        May 7, 2019 to Mar 30, 2020
      • Employees · 15 to 12
        May 7, 2019 to Mar 30, 2020
      • Discretionary RAUM · $317M to $214M
        May 7, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $224M to $121M
        May 7, 2019 to Mar 30, 2020
      • RAUM · $317M to $214M
        May 7, 2019 to Mar 30, 2020
      • Assets in custody · $307M to $214M
        Mar 30, 2020 to Mar 30, 2020
      • Accounts · 16 to 18
        Mar 28, 2018 to Mar 31, 2019
      • Advisory employees · 6 to 9
        Mar 28, 2018 to Mar 31, 2019
      • Corporate clients · unset to 3.0
        Mar 28, 2018 to Mar 31, 2019
      • Pooled vehicle clients · 16 to 15
        Mar 28, 2018 to Mar 31, 2019
      • Assets in custody · $477M to $307M
        Mar 28, 2018 to Mar 31, 2019
      • Employees · 12 to 15
        Mar 28, 2018 to Mar 31, 2019
      • HQ city · TEANECK to NEW YORK
        Mar 28, 2018 to Mar 31, 2019
      • HQ state · NJ to NY
        Mar 28, 2018 to Mar 31, 2019
      • Private funds · 7 to 9
        Mar 28, 2018 to Mar 31, 2019
      • Discretionary RAUM · $495M to $317M
        Mar 28, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $495M to $224M
        Mar 28, 2018 to Mar 31, 2019
      • RAUM · $495M to $317M
        Mar 28, 2018 to Mar 31, 2019
      • Advisory employees · 7 to 6
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 16.0
        Mar 30, 2017 to Mar 28, 2018
      • Assets in custody · $613M to $477M
        Mar 30, 2017 to Mar 28, 2018
      • Employees · 13 to 12
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $647M to $495M
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 495261027.0
        Mar 30, 2017 to Mar 28, 2018
      • RAUM · $647M to $495M
        Mar 30, 2017 to Mar 28, 2018
      • Related adviser · true to false
        Mar 30, 2017 to Mar 28, 2018
      Signals
      4 dated events
      • H••••• C•••••• M••••••••• •••• L••• reported RAUM $214.0M, down 32% from $317.0M (2019-05-07 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • H••••• C•••••• M••••••••• •••• L••• reported RAUM $317.0M, down 36% from $495.3M (2018-03-28 to 2019-03-31)
        Mar 31, 2019 · RAUM change · derived
      • J••••• A••••••• (Trustee) appeared on Schedule A of H••••• C•••••• M••••••••• •••• L•••
        Mar 31, 2019 · Control person joined · fact
      • Anthony John Cavalier (Managing Member) no longer on Schedule A of H••••• C•••••• M••••••••• •••• L••• (listed 2018-03-28, absent 2019-03-31)
        Mar 31, 2019 · Control person left · inference
      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