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
F•••• C•••••• M••••••••• L••
Latest filing Mar 25, 2019
First filing on the tape Feb 16, 2012 · 13 filings
RAUM
$35.0M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$35.0M gross assets
History
13 filings and snapshots on the tape
RAUM$35.0M as of Mar 12, 2019
Mar 25, 2013$887M then
HNW client RAUM$0 as of Mar 12, 2019
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 12, 2019
Mar 25, 20130 then
Employees (5.A)3 as of Mar 12, 2019
Mar 25, 201310 then
Private funds2 as of Mar 12, 2019
Mar 25, 20135 then
RAUM -60% over the last fiscal year-54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $17.5MderivedRAUM 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
- -60%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
- $32.0M, 2 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$35.0M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $32.0M for 2 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•••• C•••••• L••no longer reported | Hedge Fund | $87.0M | 2 | Feb 16, 2012 |
| F•••• C•••••• I• L•• | Hedge Fund | $33.0M | 6 | Feb 16, 2012 |
| F•••• S••••• L••no longer reported | Hedge Fund | $26.2M | 4 | Feb 16, 2012 |
| F•••• C•••••• I• L•• | Hedge Fund | $2.0M | 2 | Feb 16, 2012 |
| F•••• C•••••• L••no longer reported | Hedge Fund | $0 | 0 | Feb 16, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••• S••••• · Cfo/ Chief Compliance Officercontrolsince 01/2004 · owns less than 5%
- J••••• R•••••• S•••• · Ceo/Ciocontrolsince 01/2003 · owns 75% or more
Related persons
Schedule D 7.A
- J• A••••••• I• L••pooled vehicle sponsorn
- J• A••••••••• I• L••investment advisern
- J• A••••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $88.4M to $32.0MMar 29, 2018 to Mar 12, 2019
- Employees · 4 to 3Mar 29, 2018 to Mar 12, 2019
- Discretionary RAUM · $88.4M to $35.0MMar 29, 2018 to Mar 12, 2019
- Pooled vehicle RAUM · $88.4M to $35.0MMar 29, 2018 to Mar 12, 2019
- RAUM · $88.4M to $35.0MMar 29, 2018 to Mar 12, 2019
- Accounts · 3 to 2Mar 29, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 2.0Mar 29, 2017 to Mar 29, 2018
- Assets in custody · $193M to $88.4MMar 29, 2017 to Mar 29, 2018
- Employees · 5 to 4Mar 29, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Private funds · 3 to 2Mar 29, 2017 to Mar 29, 2018
- Discretionary RAUM · $193M to $88.4MMar 29, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Mar 29, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 88400000.0Mar 29, 2017 to Mar 29, 2018
- RAUM · $193M to $88.4MMar 29, 2017 to Mar 29, 2018
- Advisory employees · 4 to 2Apr 25, 2016 to Mar 21, 2017
- Assets in custody · $491M to $193MApr 25, 2016 to Mar 21, 2017
- Employees · 8 to 5Apr 25, 2016 to Mar 21, 2017
- Discretionary RAUM · $491M to $193MApr 25, 2016 to Mar 21, 2017
- RAUM · $491M to $193MApr 25, 2016 to Mar 21, 2017
- Assets in custody · $326M to $491MMar 19, 2016 to Apr 25, 2016
- Discretionary RAUM · $361M to $491MMar 19, 2016 to Apr 25, 2016
- RAUM · $361M to $491MMar 19, 2016 to Apr 25, 2016
- Accounts · 4 to 3Jul 7, 2015 to Mar 19, 2016
- Advisory activities · 2 to 1Jul 7, 2015 to Mar 19, 2016
- Assets in custody · $866M to $326MJul 7, 2015 to Mar 19, 2016
- Employees · 9 to 8Jul 7, 2015 to Mar 19, 2016
- Private funds · 4 to 3Jul 7, 2015 to Mar 19, 2016
- Discretionary RAUM · $1.1B to $361MJul 7, 2015 to Mar 19, 2016
- RAUM · $1.1B to $361MJul 7, 2015 to Mar 19, 2016
- Accounts · 8 to 4Mar 27, 2014 to Mar 27, 2015
- Advisory employees · 5 to 4Mar 27, 2014 to Mar 27, 2015
- Assets in custody · $846M to $866MMar 27, 2014 to Mar 27, 2015
Signals
1 dated events
- F•••• C•••••• M••••••••• L•• reported RAUM $88.4M, down 54% from $192.8M (2017-03-29 to 2018-03-29)Mar 29, 2018 · 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