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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SEC-registered adviser
V••••• P•••• C•••••••••
Latest filing Mar 30, 2026
First filing on the tape Jun 24, 2014 · 15 filings
SEC status approved since Jul 8, 2014
RAUM
$151M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$151M as of Mar 30, 2026
Mar 26, 2015$189M then
HNW client RAUM$0 as of Mar 9, 2020
Mar 16, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20150 then
Employees (5.A)2 as of Mar 30, 2026
Mar 26, 20152 then
Private funds6 as of Mar 30, 2026
Mar 26, 20158 then
RAUM -3.1% over the last fiscal year-3.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $25.1MderivedRAUM 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
- -3.1%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
- $41.6M, 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)
- 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$151M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $41.6M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• A•• A••••••••• L•• | Hedge Fund | $44.4M | 6 | Mar 22, 2012 |
| 0•• | Hedge Fund | $29.0M | 1 | Mar 22, 2012 |
| 0•• | Hedge Fund | $26.8M | 6 | Mar 22, 2012 |
| S•••••• I••••••••• P••••••••• I•• L• | Hedge Fund | $26.0M | 35 | Mar 22, 2012 |
| S•••••• I••••••••• P••••••••• L• | Hedge Fund | $23.9M | 41 | Mar 22, 2012 |
| 0••no longer reported | Hedge Fund | $15.2M | 40 | Mar 22, 2012 |
| 0•• | Hedge Fund | $6.8M | 6 | Mar 22, 2012 |
| S•••••• I••••••••• P••••••••• I••• L• | Hedge Fund | $5.5M | 12 | Jun 24, 2014 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• L•••••••• B•••• · President/Directorcontrolsince 01/1995 · owns 10% to 25%
- F••••••• E••••• J•• · Trusteecontrolsince 01/2022 · owns F of E•••• F•••••• 2••• I••••••••• T••••
- H•••••• A••••••• B••• · Trusteecontrolsince 01/2022 · owns F of A•••••• H••••• 2••• I••••••••• T••••
- H•••••• M••••••• L•• · Chief Compliance Officersince 06/2014 · owns less than 5%
Entity owners
- A•••••• H••••• 2••• I••••••••• T•••• · Shareholderdirect · owns 25% to 50%
- E•••• F•••••• 2••• I••••••••• T•••• · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- L••••••• B•••• S••••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $43.8M to $41.6MMar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $156M to $151MMar 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $156M to $151MMar 26, 2025 to Mar 30, 2026
- RAUM · $156M to $151MMar 26, 2025 to Mar 30, 2026
- Assets in custody · $49.9M to $43.8MMar 29, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 26, 2025
- Discretionary RAUM · $157M to $156MMar 29, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $157M to $156MMar 29, 2024 to Mar 26, 2025
- RAUM · $157M to $156MMar 29, 2024 to Mar 26, 2025
- Accounts · 7 to 6Mar 24, 2023 to Mar 29, 2024
- Pooled vehicle clients · 7 to 6Mar 24, 2023 to Mar 29, 2024
- Assets in custody · $55.7M to $49.9MMar 24, 2023 to Mar 29, 2024
- Private funds · 7 to 6Mar 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $170M to $157MMar 24, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $170M to $157MMar 24, 2023 to Mar 29, 2024
- RAUM · $170M to $157MMar 24, 2023 to Mar 29, 2024
- Assets in custody · $60.6M to $55.7MMar 22, 2022 to Mar 24, 2023
- Discretionary RAUM · $177M to $170MMar 22, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $177M to $170MMar 22, 2022 to Mar 24, 2023
- RAUM · $177M to $170MMar 22, 2022 to Mar 24, 2023
- Accounts · 8 to 7Mar 15, 2021 to Mar 22, 2022
- Pooled vehicle clients · 8 to 7Mar 15, 2021 to Mar 22, 2022
- Assets in custody · $62.4M to $60.6MMar 15, 2021 to Mar 22, 2022
- Private funds · 8 to 7Mar 15, 2021 to Mar 22, 2022
- Discretionary RAUM · $180M to $177MMar 15, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $180M to $177MMar 15, 2021 to Mar 22, 2022
- RAUM · $180M to $177MMar 15, 2021 to Mar 22, 2022
- Charity clients · 0.0 to unsetMar 9, 2020 to Mar 15, 2021
- Corporate clients · 0.0 to unsetMar 9, 2020 to Mar 15, 2021
- HNW clients · 0.0 to unsetMar 9, 2020 to Mar 15, 2021
- Individual clients · 0.0 to unsetMar 9, 2020 to Mar 15, 2021
- Pension plan clients · 0.0 to unsetMar 9, 2020 to Mar 15, 2021
- Assets in custody · $73.1M to $62.4MMar 9, 2020 to Mar 15, 2021
- Discretionary RAUM · $227M to $180MMar 9, 2020 to Mar 15, 2021
- HNW RAUM · 0.0 to unsetMar 9, 2020 to Mar 15, 2021
- Individual RAUM · 0.0 to unsetMar 9, 2020 to Mar 15, 2021
- Pension RAUM · 0.0 to unsetMar 9, 2020 to Mar 15, 2021
- Pooled vehicle RAUM · $227M to $180MMar 9, 2020 to Mar 15, 2021
- RAUM · $227M to $180MMar 9, 2020 to Mar 15, 2021
- Assets in custody · $72.7M to $73.1MMar 15, 2019 to Mar 9, 2020
Signals
1 dated events
- V••••• P•••• C••••••••• filed its initial SEC registration (Form ADV)Jun 24, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- V••••• P•••• C••••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 973-952-0405reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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