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

O•••••• H••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 160730SEC 801-76589IAPD
Latest filing Mar 31, 2015
First filing on the tape Apr 17, 2012 · 9 filings
RAUM
$471M
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
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$370M gross assets
History
9 filings and snapshots on the tape
RAUM$471M as of Mar 31, 2015
Apr 1, 2013$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)8 as of Mar 31, 2015
Apr 1, 20137 then
Private funds3 as of Mar 31, 2015
Apr 1, 20131 then
RAUM -91% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2015; 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
$58.8MderivedRAUM 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
-91%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
$230M, 8 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$230M for 8 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•••••• H••• M••••• F••• L•••Hedge Fund$74.9M5Sep 7, 2012
      O•••••• H••• A•••• O••••••••• M••••• F••• L•••Hedge Fund$7.4M6Aug 19, 2013
      O•••••• H••• G••••• M•••• O••••••••• F••• L•Hedge Fund$6.1M5Aug 21, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• M•••• B•••• · Chief Executive Officer & Limited Partnercontrol
        since 11/2009 · owns 75% or more
      • V••••• M•••••••• D•••• · Chief Compliance Officercontrol
        since 11/2012 · owns less than 5%
      • F•••••••• M•••• B•••• · Managing Membercontrol
        since 11/2009 · owns 50% to 75% of O•••••• H••• M••••••••• G• L••
      • F•••••••• M•••••• I•••• · Trusteecontrol
        since 04/2009 · owns F of M••• F••••••• 2••• G••• I•
      • F•••••••• M•••••• I•••• · Membercontrol
        since 11/2009 · owns 50% to 75% of O•••••• H••• M••••••••• G• L••
      Entity owners
      • O•••••• H••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      • M••• F••••••• 2••• G••• I• · Limited Partner
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • O•••••• H••• A•••• O••••••••• F•••• G• L••
        bankpooled vehicle sponsorn
      • O•••••• H••• C•••••• P••••••• L•
        investment advisern
      • O•••••• H••• D••••••• F••• G• L••
        bankpooled vehicle sponsorn
      • O•••••• H••• G••••• M•••• O••••••••• F••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 8
        Aug 21, 2014 to Mar 31, 2015
      • Advisory employees · 9 to 5
        Aug 21, 2014 to Mar 31, 2015
      • Assets in custody · $269M to $230M
        Aug 21, 2014 to Mar 31, 2015
      • Employees · 12 to 8
        Aug 21, 2014 to Mar 31, 2015
      • Discretionary RAUM · $5.4B to $471M
        Aug 21, 2014 to Mar 31, 2015
      • RAUM · $5.4B to $471M
        Aug 21, 2014 to Mar 31, 2015
      • Private funds · 2 to 3
        Mar 31, 2014 to Aug 21, 2014
      • Accounts · 4 to 7
        Aug 19, 2013 to Mar 31, 2014
      • Advisory employees · 5 to 9
        Aug 19, 2013 to Mar 31, 2014
      • Assets in custody · $113M to $269M
        Aug 19, 2013 to Mar 31, 2014
      • Employees · 7 to 12
        Aug 19, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.9B to $5.4B
        Aug 19, 2013 to Mar 31, 2014
      • RAUM · $1.9B to $5.4B
        Aug 19, 2013 to Mar 31, 2014
      • Private funds · 1 to 2
        Apr 1, 2013 to Aug 19, 2013
      • Assets in custody · unset to 113000000.0
        Nov 26, 2012 to Apr 1, 2013
      • Custody of client assets · false to true
        Nov 26, 2012 to Apr 1, 2013
      • Employees · 8 to 7
        Nov 26, 2012 to Apr 1, 2013
      • Discretionary RAUM · $110M to $1.9B
        Nov 26, 2012 to Apr 1, 2013
      • RAUM · $110M to $1.9B
        Nov 26, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Sep 7, 2012 to Nov 26, 2012
      • BD registered reps · unset to 0.0
        Sep 7, 2012 to Nov 26, 2012
      • Employees · unset to 8.0
        Sep 7, 2012 to Nov 26, 2012
      • State-registered IARs · unset to 0.0
        Sep 7, 2012 to Nov 26, 2012
      • Accounts · 0 to 4
        Apr 27, 2012 to Sep 7, 2012
      • Private funds · unset to 1
        Apr 27, 2012 to Sep 7, 2012
      • Discretionary RAUM · $0 to $110M
        Apr 27, 2012 to Sep 7, 2012
      • RAUM · $0 to $110M
        Apr 27, 2012 to Sep 7, 2012
      Signals
      No event on the tape.
      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