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

A••••• C•••••• M••••••••• L•••

Former SEC-registered adviserBeverly Hills, CaliforniaCRD 161018SEC 801-73684IAPD
Latest filing Mar 29, 2019
First filing on the tape Feb 14, 2012 · 11 filings
RAUM
$407M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$407M gross assets
History
11 filings and snapshots on the tape
RAUM$407M as of Mar 29, 2019
Mar 27, 2013$949M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 27, 20130 then
Employees (5.A)4 as of Mar 29, 2019
Mar 27, 201315 then
Private funds2 as of Mar 29, 2019
Mar 27, 20135 then
RAUM -31% over the last fiscal year-33% a year over threeIARs 0 to 0offices 2 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$58.1MderivedRAUM 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
-31%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
$407M, 7 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)
  • 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
  • Pooled investment vehicles$407M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$407M for 7 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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• C•••••• M••••• F•••• L•••Hedge Fund$395M81Feb 14, 2012
      A••••• C••••••• M••••• F•••• L•••no longer reportedHedge Fund$104M7Nov 17, 2014
      A••••• S•• I••••••no longer reportedHedge Fund$63.1M1Feb 14, 2012
      A••••• P•••••• L•••no longer reportedHedge Fund$49.4M12Mar 28, 2014
      A••••• S••••• M•••••• M••••• F•••• L•••no longer reportedHedge Fund$17.8M14Mar 27, 2013
      H••••••• M••••• F•••• L•••Hedge Fund$12.2M6Feb 14, 2012
      A••••• S••••• D••••••••• M••••• F•••• L•••Hedge Fund$147,62017Mar 28, 2014
      A••••• O••••••• T•••••• S••• L•••no longer reportedHedge Fund$27,2062Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• K••••• R•••••• · Chief Compliance Officercontrol
        since 02/2019 · owns less than 5%
      • E•••••• E••• J•••• · Limited Partner / Managing Partnercontrol
        since 03/2006 · owns 25% to 50%
      • L••••• J••••• A••• · Limited Partner / Managing Partnercontrol
        since 03/2006 · owns 25% to 50%
      • E•••••• E••• J•••• · Membercontrol
        since 11/2005 · owns 50% to 75% of C••••• H•••••••• L••
      • L••••• J••••• A••• · Membercontrol
        since 11/2005 · owns 50% to 75% of C••••• H•••••••• L••
      Entity owners
      • C••••• H•••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • A••••• H••••••• G•• L•••••
        pooled vehicle sponsorn
      • A••••• P••••••• G•• L•••••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 7
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 8 to 2
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 10 to 7
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $590M to $407M
        Mar 29, 2018 to Mar 29, 2019
      • Employees · 15 to 4
        Mar 29, 2018 to Mar 29, 2019
      • HQ city · NEW YORK to BEVERLY HILLS
        Mar 29, 2018 to Mar 29, 2019
      • HQ state · NY to CA
        Mar 29, 2018 to Mar 29, 2019
      • Other offices · 2 to 0
        Mar 29, 2018 to Mar 29, 2019
      • Private funds · 3 to 2
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $590M to $407M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $590M to $407M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $590M to $407M
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 9 to 8
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 10.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $1.1B to $590M
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 18 to 15
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 2.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.1B to $590M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 589993495.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $1.1B to $590M
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 17 to 10
        Mar 28, 2016 to Mar 31, 2017
      • Assets in custody · $1.3B to $1.1B
        Mar 28, 2016 to Mar 31, 2017
      • Employees · 17 to 18
        Mar 28, 2016 to Mar 31, 2017
      • Private funds · 5 to 3
        Mar 28, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.3B to $1.1B
        Mar 28, 2016 to Mar 31, 2017
      • RAUM · $1.3B to $1.1B
        Mar 28, 2016 to Mar 31, 2017
      • Accounts · 19 to 17
        Oct 1, 2015 to Mar 28, 2016
      • Assets in custody · $1.8B to $1.3B
        Oct 1, 2015 to Mar 28, 2016
      • Private funds · 6 to 5
        Oct 1, 2015 to Mar 28, 2016
      • Discretionary RAUM · $1.8B to $1.3B
        Oct 1, 2015 to Mar 28, 2016
      • RAUM · $1.8B to $1.3B
        Oct 1, 2015 to Mar 28, 2016
      • Accounts · 20 to 19
        Nov 17, 2014 to Mar 26, 2015
      • Assets in custody · $1.9B to $1.8B
        Nov 17, 2014 to Mar 26, 2015
      • Employees · 16 to 17
        Nov 17, 2014 to Mar 26, 2015
      • Discretionary RAUM · $1.9B to $1.8B
        Nov 17, 2014 to Mar 26, 2015
      • RAUM · $1.9B to $1.8B
        Nov 17, 2014 to Mar 26, 2015
      • Accounts · 18 to 20
        May 16, 2014 to Nov 17, 2014
      • Assets in custody · $1.6B to $1.9B
        May 16, 2014 to Nov 17, 2014
      • Discretionary RAUM · $1.6B to $1.9B
        May 16, 2014 to Nov 17, 2014
      • RAUM · $1.6B to $1.9B
        May 16, 2014 to Nov 17, 2014
      Signals
      4 dated events
      • A••••• C•••••• M••••••••• L••• reported RAUM $406.9M, down 31% from $590.0M (2018-03-29 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Ira Neil Wiesenberg (Chief Compliance Officer/Chief Operating Officer) no longer on Schedule A of A••••• C•••••• M••••••••• L••• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Scott Brian Goldenberg (Chief Financial Officer) no longer on Schedule A of A••••• C•••••• M••••••••• L••• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • A••••• C•••••• M••••••••• L••• reported RAUM $590.0M, down 45% from $1.1B (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      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