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

H•••••• P••• A••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 160988SEC 801-73709IAPD
Latest filing Mar 18, 2016
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$323M
reported, Item 5.F
Discretionary
38%
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$117M gross assets
History
7 filings and snapshots on the tape
RAUM$323M as of Mar 18, 2016
Mar 19, 2013$274M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2016
Mar 19, 20130 then
Employees (5.A)7 as of Mar 18, 2016
Mar 19, 20138 then
Private funds2 as of Mar 18, 2016
Mar 19, 20131 then
RAUM -8.5% over the last fiscal year+5.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 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
$64.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
38%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
-8.5%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixed, 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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••• P••• F••• Q• L•no longer reportedHedge Fund$103M10Feb 14, 2012
      H•••••• P••• L••• O••••••••• F••• Q• L•Hedge Fund$101M0Feb 14, 2012
      M••••••• O••••••••• M••••• F••• L•••no longer reportedHedge Fund$26.1M3Sep 20, 2013
      H•••••• P••• L••• O••••••••• M••••• F••• L•••no longer reportedHedge Fund$20.0M1Feb 14, 2012
      H•••••• P••• M••••• F••• L•••no longer reportedHedge Fund$20.0M2Feb 14, 2012
      H•••••• P••• L••• O••••••••• O••••••• F••• L•••no longer reportedHedge Fund$18.2M6Feb 14, 2012
      M••••••• C•••••• F••• L•••Hedge Fund$16.2M5Apr 6, 2015
      H•••••• P••• O••••••• F••• L•••no longer reportedHedge Fund$7.4M6Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••••• S••••••• B•••• · Partnercontrol
        since 10/2008 · owns 75% or more
      • S•••••• J••••• S•••• · Partner & Chief Operating Officer & Chief Compliance Officercontrol
        since 10/2008 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • H•••••• P••• G• L••
        investment adviserpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 5
        Apr 6, 2015 to Mar 18, 2016
      • Advisory employees · 6 to 4
        Apr 6, 2015 to Mar 18, 2016
      • Discretionary RAUM · $138M to $123M
        Apr 6, 2015 to Mar 18, 2016
      • Non-discretionary RAUM · $215M to $200M
        Apr 6, 2015 to Mar 18, 2016
      • RAUM · $353M to $323M
        Apr 6, 2015 to Mar 18, 2016
      • Discretionary RAUM · $137M to $138M
        Mar 24, 2014 to Apr 6, 2015
      • RAUM · $352M to $353M
        Mar 24, 2014 to Apr 6, 2015
      • Accounts · 5 to 6
        Sep 20, 2013 to Mar 24, 2014
      • Advisory employees · 7 to 6
        Sep 20, 2013 to Mar 24, 2014
      • Employees · 8 to 7
        Sep 20, 2013 to Mar 24, 2014
      • Discretionary RAUM · $87.2M to $137M
        Sep 20, 2013 to Mar 24, 2014
      • Non-discretionary RAUM · $200M to $215M
        Sep 20, 2013 to Mar 24, 2014
      • RAUM · $287M to $352M
        Sep 20, 2013 to Mar 24, 2014
      • Related adviser · false to true
        Sep 20, 2013 to Mar 24, 2014
      • Accounts · 2 to 5
        Mar 19, 2013 to Sep 20, 2013
      • Assets in custody · $73.9M to $0
        Mar 19, 2013 to Sep 20, 2013
      • Private funds · 1 to 2
        Mar 19, 2013 to Sep 20, 2013
      • Discretionary RAUM · $73.9M to $87.2M
        Mar 19, 2013 to Sep 20, 2013
      • RAUM · $274M to $287M
        Mar 19, 2013 to Sep 20, 2013
      • Accounts · 7 to 2
        Apr 30, 2012 to Mar 19, 2013
      • Advisory employees · unset to 7.0
        Apr 30, 2012 to Mar 19, 2013
      • BD registered reps · unset to 0.0
        Apr 30, 2012 to Mar 19, 2013
      • Assets in custody · unset to 73905461.0
        Apr 30, 2012 to Mar 19, 2013
      • Custody of client assets · false to true
        Apr 30, 2012 to Mar 19, 2013
      • Employees · unset to 8.0
        Apr 30, 2012 to Mar 19, 2013
      • State-registered IARs · unset to 0.0
        Apr 30, 2012 to Mar 19, 2013
      • Private funds · 6 to 1
        Apr 30, 2012 to Mar 19, 2013
      • Discretionary RAUM · $155M to $73.9M
        Apr 30, 2012 to Mar 19, 2013
      • RAUM · $355M to $274M
        Apr 30, 2012 to Mar 19, 2013
      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