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

L••••••• A•••• M••••••••• L••

Former SEC-registered adviserOld Greenwich, ConnecticutCRD 160999SEC 801-73358IAPD
Latest filing May 30, 2017
First filing on the tape Feb 13, 2012 · 8 filings
RAUM
$26.7M
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
n/a
beyond the principal office
Private funds
4
$50.3M gross assets
History
8 filings and snapshots on the tape
RAUM$26.7M as of May 30, 2017
Mar 22, 2013$394M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 30, 2017
Mar 22, 20130 then
Employees (5.A)2 as of May 30, 2017
Mar 22, 201310 then
Private funds4 as of May 30, 2017
Mar 22, 20134 then
RAUM -47% over the last fiscal year-59% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 30, 2017; 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
$6.7MderivedRAUM 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
-47%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
yesreportedItem 9.A
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • controlled by a public reporting company (10.A)
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
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      L••••••• C•••••• P••••••• I••• L•••Private Equity Fund$26.8M29Feb 13, 2012
      H•• B•••• S••••• P•••••••• L••Private Equity Fund$12.3M5Feb 13, 2012
      L••••••• C•••••• P•••••••• L•••Private Equity Fund$8.3M38Feb 13, 2012
      L••••••• H• I•• L•••Private Equity Fund$2.9M3Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• P•••• J••••• · Managing Director/Ccocontrol
        since 07/2001 · owns 75% or more
      • W••••••• A••• · Director
        since 06/2002 · owns less than 5%
      Related persons
      Schedule D 7.A
      • L••••••• P••••••• G• I•• L••
        pooled vehicle sponsory
      • L••••••• P••••••• I•• C••• L••
        pooled vehicle sponsory
      • L••••••• P••••••• I•• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Organization form · Limited Liability Company to Sole Proprietorship
        Aug 8, 2016 to May 30, 2017
      • Discretionary RAUM · $50.3M to $26.7M
        Aug 8, 2016 to May 30, 2017
      • RAUM · $50.3M to $26.7M
        Aug 8, 2016 to May 30, 2017
      • Assets in custody · unset to 0.0
        Apr 8, 2016 to Aug 8, 2016
      • Custody of client assets · false to true
        Apr 8, 2016 to Aug 8, 2016
      • Organization form · Sole Proprietorship to Limited Liability Company
        Jan 21, 2016 to Apr 8, 2016
      • Discretionary RAUM · $70.9M to $50.3M
        Jan 21, 2016 to Apr 8, 2016
      • RAUM · $70.9M to $50.3M
        Jan 21, 2016 to Apr 8, 2016
      • HQ city · GREENWICH to OLD GREENWICH
        Mar 31, 2015 to Jan 21, 2016
      • Advisory employees · 7 to 2
        Mar 26, 2014 to Mar 31, 2015
      • Employees · 10 to 2
        Mar 26, 2014 to Mar 31, 2015
      • HQ city · STAMFORD to GREENWICH
        Mar 26, 2014 to Mar 31, 2015
      • Organization form · Limited Liability Company to Sole Proprietorship
        Mar 26, 2014 to Mar 31, 2015
      • Discretionary RAUM · $398M to $70.9M
        Mar 26, 2014 to Mar 31, 2015
      • RAUM · $398M to $70.9M
        Mar 26, 2014 to Mar 31, 2015
      • Advisory employees · 8 to 7
        Mar 22, 2013 to Mar 26, 2014
      • Discretionary RAUM · $394M to $398M
        Mar 22, 2013 to Mar 26, 2014
      • RAUM · $394M to $398M
        Mar 22, 2013 to Mar 26, 2014
      • Advisory employees · unset to 8.0
        Feb 13, 2012 to Mar 22, 2013
      • BD registered reps · unset to 0.0
        Feb 13, 2012 to Mar 22, 2013
      • Employees · unset to 10.0
        Feb 13, 2012 to Mar 22, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Mar 22, 2013
      • Discretionary RAUM · $416M to $394M
        Feb 13, 2012 to Mar 22, 2013
      • RAUM · $416M to $394M
        Feb 13, 2012 to Mar 22, 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