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

I•••••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 160688SEC 801-73916IAPD
Latest filing Jul 31, 2013
First filing on the tape Feb 14, 2012 · 6 filings
RAUM
$33.4M
reported, Item 5.F
Discretionary
0.0%
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
n/a
beyond the principal office
Private funds
11
$33.2M gross assets
History
6 filings and snapshots on the tape
RAUM$33.4M as of Jul 31, 2013
Feb 14, 2012$39.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 31, 2013
Dec 7, 20120 then
Employees (5.A)2 as of Jul 31, 2013
Dec 7, 20122 then
Private funds11 as of Jul 31, 2013
Feb 14, 20129 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 31, 2013; 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
$3.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
yesreportedItem 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
11reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
fixedreported
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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••Private Equity Fund$7.2M10Feb 14, 2012
      P••Private Equity Fund$6.5M13Jul 25, 2012
      P••Private Equity Fund$5.0M3Jul 31, 2013
      P••Private Equity Fund$5.0M9Jul 31, 2013
      P••Private Equity Fund$4.4M1Feb 14, 2012
      P••Real Estate Fund$4.1M6Feb 14, 2012
      P••Private Equity Fund$3.5M6Mar 28, 2013
      P••Private Equity Fund$1.6M9Feb 14, 2012
      P••Private Equity Fund$49,19312Feb 14, 2012
      P••Private Equity Fund$8,5209Feb 14, 2012
      P••Private Equity Fund$3,15615Feb 14, 2012
      P••Private Equity Fund$3,0535Feb 14, 2012
      P••Private Equity Fund$1,8511Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• L•••••••• E• · Chief Compliance Officercontrol
        since 01/2012 · owns less than 5%
      • S••••••••• R•••••• P•••••• · Managercontrol
        since 10/2012 · owns less than 5%
      • G•••• B••••• W• · Trusteecontrol
        since 10/2008 · owns F of T••••• C. I••••• 2008 7 (A) Trust & J•••• C• I••••• 2••• 7• •• T••••
      • I•••••• J••••• C• · Trusteecontrol
        since 10/2008 · owns F of J•••• C• I••••• 2••• 7• •• T••••
      • I•••••• P••••• C• · Trusteecontrol
        since 10/2008 · owns F of T••••• C. I••••• 2008 7 (A) Trust
      • I•••••• T•••••• C• · Trusteecontrol
        since 10/2008 · owns F of T••••• C. I••••• 2008 7 (A) Trust & J•••• C• I••••• 2••• 7• •• T••••
      • S••••••• H•••••• · Trusteecontrol
        since 10/2008 · owns F of T••••• C. I••••• 2008 7 (A) Trust & J•••• C• I••••• 2••• 7• •• T••••
      • W•••••• G••••••• H• · Trusteecontrol
        since 10/2008 · owns F of T••••• C. I••••• 2008 7 (A) Trust & J•••• C• I••••• 2••• 7• •• T••••
      Entity owners
      • A••• I••••• E••••••••• I••• · Member
        direct · owns 75% or more
      • J•••• C• I••••• 2••• 7• •• T•••• · Shareholder
        indirect · owns 50% to 75% of A. C. I••••• E•••••••••
      • T••••• C• I••••• 2••• 7••• T•••• · Shareholder
        indirect · owns 50% to 75% of A. C. I••••• E•••••••••
      Related persons
      Schedule D 7.A
      • A••• I••••• E••••••••• I•••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 11
        Mar 28, 2013 to Jul 31, 2013
      • Non-discretionary RAUM · $32.5M to $33.4M
        Mar 28, 2013 to Jul 31, 2013
      • RAUM · $32.5M to $33.4M
        Mar 28, 2013 to Jul 31, 2013
      • Accounts · 10 to 12
        Dec 7, 2012 to Mar 28, 2013
      • Assets in custody · unset to 0.0
        Dec 7, 2012 to Mar 28, 2013
      • Custody of client assets · false to true
        Dec 7, 2012 to Mar 28, 2013
      • Private funds · 10 to 11
        Dec 7, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $45.0M to $32.5M
        Dec 7, 2012 to Mar 28, 2013
      • RAUM · $45.0M to $32.5M
        Dec 7, 2012 to Mar 28, 2013
      • Advisory employees · unset to 2.0
        Jul 25, 2012 to Dec 7, 2012
      • BD registered reps · unset to 0.0
        Jul 25, 2012 to Dec 7, 2012
      • Employees · unset to 2.0
        Jul 25, 2012 to Dec 7, 2012
      • State-registered IARs · unset to 0.0
        Jul 25, 2012 to Dec 7, 2012
      • Accounts · 9 to 10
        Feb 21, 2012 to Jul 25, 2012
      • Private funds · 9 to 10
        Feb 21, 2012 to Jul 25, 2012
      • Non-discretionary RAUM · $39.0M to $45.0M
        Feb 21, 2012 to Jul 25, 2012
      • RAUM · $39.0M to $45.0M
        Feb 21, 2012 to Jul 25, 2012
      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
      Across the graphs

      I•••••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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