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•••••••• M••••••••• L••

Former SEC-registered adviserNew Canaan, ConnecticutCRD 160909SEC 801-73927IAPD
Latest filing May 25, 2016
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$173M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$122M gross assets
History
7 filings and snapshots on the tape
RAUM$173M as of Mar 23, 2016
Mar 27, 2013$311M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2016
Mar 27, 20130 then
Employees (5.A)3 as of Mar 23, 2016
Mar 27, 20134 then
Private funds2 as of Mar 23, 2016
Mar 27, 20134 then
RAUM -27% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 25, 2016; 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
$86.7MderivedRAUM 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
-27%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
$122M, 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)
  • 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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$122M 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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••••••••• P••••••• L•Private Equity Fund$17.2M18Feb 14, 2012
      E•••••••• C•••••• P••••••• I• L•Private Equity Fund$592,78421Feb 14, 2012
      E•••••••• C•••••• P••••••• I• L•Private Equity Fund$021Feb 14, 2012
      I•••••••• P••••••• I• L•Private Equity Fund$021Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• J••••• C••• · Managing Membercontrol
        since 01/1998 · owns 50% to 75% of J••• C•••• L••
      • A•••••••• D••• · Chief Compliance Officer
        since 06/2015 · owns less than 5%
      • D•••••••• W••••••• M••••• · Member
        since 01/1998 · owns 50% to 75% of W•• L••
      Entity owners
      • J••• C•••• L•• · Managing Member
        direct · owns 50% to 75%
      • W•• L•• · Managing Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • I•••••••• C•••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 2
        Jun 1, 2015 to Mar 23, 2016
      • Assets in custody · $173M to $122M
        Jun 1, 2015 to Mar 23, 2016
      • Private funds · 4 to 2
        Jun 1, 2015 to Mar 23, 2016
      • Discretionary RAUM · $238M to $173M
        Jun 1, 2015 to Mar 23, 2016
      • RAUM · $238M to $173M
        Jun 1, 2015 to Mar 23, 2016
      • Advisory employees · 4 to 3
        Mar 26, 2014 to Mar 30, 2015
      • Assets in custody · $209M to $173M
        Mar 26, 2014 to Mar 30, 2015
      • Employees · 4 to 3
        Mar 26, 2014 to Mar 30, 2015
      • Discretionary RAUM · $275M to $238M
        Mar 26, 2014 to Mar 30, 2015
      • RAUM · $275M to $238M
        Mar 26, 2014 to Mar 30, 2015
      • Assets in custody · $244M to $209M
        Mar 27, 2013 to Mar 26, 2014
      • Discretionary RAUM · $311M to $275M
        Mar 27, 2013 to Mar 26, 2014
      • RAUM · $311M to $275M
        Mar 27, 2013 to Mar 26, 2014
      • Advisory employees · unset to 4.0
        Feb 14, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 27, 2013
      • Assets in custody · $262M to $244M
        Feb 14, 2012 to Mar 27, 2013
      • Employees · unset to 4.0
        Feb 14, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 27, 2013
      • Discretionary RAUM · $332M to $311M
        Feb 14, 2012 to Mar 27, 2013
      • RAUM · $332M to $311M
        Feb 14, 2012 to Mar 27, 2013
      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