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

E••••••• C•••••• P•••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 161037SEC 801-74134IAPD
Latest filing Apr 1, 2013
First filing on the tape Feb 14, 2012 · 4 filings
RAUM
$194M
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
26
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$91.9M gross assets
History
4 filings and snapshots on the tape
RAUM$194M as of Apr 1, 2013
Feb 14, 2012$119M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 26
Private funds1 as of Apr 1, 2013
Jun 27, 201226 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2013; 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
$9.7MderivedRAUM 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
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 vehicles, otherreportedItem 5.G
Custody
$102M, 3 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)
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
20reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$102M for 3 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
      25 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••• C•••••• C••••••••• F••• I•••• L••Other Private Fund$33.8M1Jun 27, 2012
      E••••••• C•••••• T•••• F••• I•• L••Other Private Fund$24.4M1Jun 27, 2012
      E••••••• C•••••• C••••••••• F••• I• L••Other Private Fund$22.6M1Jun 27, 2012
      E••••••• D•••• S•••• B••••••• I••••••••• F•••• L••Other Private Fund$16.3M2Jun 27, 2012
      C•••••• • E••••••• T•••••••• F•••• L••Other Private Fund$14.0M2Jun 27, 2012
      E••••••• C•••••• N•• M••••• D••••••••• F••• V•• L••Other Private Fund$13.0M2Jun 27, 2012
      E••••••• C•••••• D••••••• F•••• L••Other Private Fund$10.7M1Jun 27, 2012
      E••••••• C•••••• N•• M••••• D••••••••• F••• V••• L••Other Private Fund$10.7M2Jun 27, 2012
      E••••••• C•••••• A•••••• F••• I•• L••Other Private Fund$10.4M1Jun 27, 2012
      E••••••• C•••••• N•• M••••• D••••••••• F••• I•• L••Other Private Fund$10.2M2Jun 27, 2012
      E••••••• C•••••• N•• M••••• D••••••••• F••• I••• L••Other Private Fund$10.0M2Jun 27, 2012
      E••••••• J••• F•• T•••• F•••• L••Other Private Fund$10.0M2Jun 27, 2012
      E••••••• C•••••• N•• M••••• D••••••••• F••• I•• L••Other Private Fund$9.8M2Jun 27, 2012
      E••••••• A•••••• I•••••• L••Other Private Fund$9.7M1Jun 27, 2012
      E••••••• C•••••• N•• M••••• D••••••••• F••• V•••• L••Other Private Fund$9.6M2Jun 27, 2012
      E••••••• C•••••• C••••••••• F••• I•• L••Other Private Fund$9.3M1Jun 27, 2012
      E••••••• C•••••• N•• M••••• D••••••••• F••• V• L••Other Private Fund$9.0M2Jun 27, 2012
      E••••••• C•••••• N•• Y••• F••• I••• L••Other Private Fund$7.0M1Jun 27, 2012
      E••••••• C•••••• N•• M••••• D••••••••• F••• I•• L••Other Private Fund$6.9M2Jun 27, 2012
      E••••••• C•••••• N•• Y••• F••• I•• L••Other Private Fund$5.7M1Jun 27, 2012
      E••••••• C•••••• N•• M••••• D••••••••• F•••• L••Other Private Fund$5.0M2Jun 27, 2012
      E••••••• L•••••••• C•••••• I•• L••Other Private Fund$4.0M1Jun 27, 2012
      E••••••• L•••••••• C•••••• I••• L••Other Private Fund$3.3M1Jun 27, 2012
      E••••••• C••••••• I•••••• L••Other Private Fund$2.5M1Jun 27, 2012
      E••••••• L•••••••• I•••••• L••Other Private Fund$2.3M2Jun 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• N•••••• F••••••• · Chief Compliance Officer And Counsel, E••••••• C•••••• P•••••••• I•••control
        since 01/2012 · owns less than 5%
      • B•••••••• D•••••• C• · M••••••/Authorized Officer And Member Of Board Of M••••••S, C•••••• • E••••••• T•••••••• M••••••• L•• (Relying Adviser)control
        since 08/2009 · owns less than 5%
      • G••••••• K••••• H••••• · Member Of Board Of M••••••S, C•••••• • E••••••• T•••••••• M••••••• L•• (Relying Adviser)control
        since 08/2009 · owns less than 5%
      • H••••• W••••••• B••••••• · Member, Board Of Directors, E••••••• C•••••• P•••••••• I•••control
        since 05/2009 · owns less than 5%
      • K•••••• J•••••••• S•••• · Member, Board Of Directors, E••••••• C•••••• P•••••••• I•••control
        since 05/2009 · owns less than 5%
      • K••••••••• M••••••• A••• G••••••• · M••••••/Authorized Officer And Member Of Board Of M••••••S, C•••••• • E••••••• T•••••••• M••••••• L•• (Relying Adviser)control
        since 08/2009 · owns less than 5%
      • M•••••••• S••••• P•••••• · Chief Financial Officer, E••••••• C•••••• P•••••••• I•••control
        since 10/2010 · owns less than 5%
      • O••••••• B••••• A••• · Owner And M••••••, E••••••• C•••••• S••• M••••••••• L•• (Relying Adviser)control
        since 02/2012 · owns 25% to 50%
      • P•••• A•••••• M••••••• · Chairman Of The Board, E••••••• C•••••• P•••••••• I•••control
        since 07/2003 · owns less than 5%
      • B•••••••• D•••••• C• · Managing Membercontrol
        since 07/2010 · owns 25% to 50% of C•••••• C•••••• M••••••••• L••
      • G••••••• K••••• H••••• · Managing Membercontrol
        since 07/2010 · owns 25% to 50% of C•••••• C•••••• M••••••••• L••
      Entity owners
      • C•••••• C•••••• M••••••••• L•• · Member, C•••••• • E••••••• T•••••••• M••••••• L•• (Relying Adviser)
        direct · owns 50% to 75%
      • E••••••• C•••••• P••••••• E••••••• S•••• O•••••••• T•••• · Owner, E••••••• C•••••• P•••••••• I•••
        direct · owns 75% or more
      • E••••••• C•••••• P•••••••• I••• · Owner, E••••••• C•••••• S••• M••••••••• L•• (Relying Adviser)
        direct · owns 50% to 75%
      • E••••••• T•••••••• H••••••• L•• · Member, C•••••• • E••••••• T•••••••• M••••••• L•• (Relying Adviser)
        direct · owns 50% to 75%
      • R••••••• T•••• C•••••• · Trustee, E••••••• C•••••• P••••••• E••••••• S•••• O•••••••• T••••
        direct · owns less than 5%
      • E••••••• C•••••• P••••••• E••••••• S•••• O•••••••• T•••• · Owner
        indirect · owns 75% or more of E••••••• C•••••• P•••••••• I•••
      • E••••••• C•••••• P•••••••• I••• · Sole Member
        indirect · owns 75% or more of E••••••• T•••••••• H••••••• L••
      • R••••••• T•••• C•••••• · Trustee
        indirect · owns F of E••••••• C•••••• P••••••• E••••••• S•••• O•••••••• T••••
      Related persons
      Schedule D 7.A
      • A••••• M• P•••
        pooled vehicle sponsory
      • C•••••• • E••••••• T•••••••• M••••••• L••
        investment advisery
      • E•• P••••••• I•• L••
        pooled vehicle sponsorn
      • E•• P•••••••• L••
        pooled vehicle sponsorn
      • E••••••• C•••••• S••• M••••••••• L••
        investment advisery
      • E••••••• Healthcare Management Company
        investment advisernRAUM $1.4B
      • E••••••• S•••• B••••••• I••••••••• C•••••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Jackson, WY
      • New Orleans, LA
      • Stamford, CT
      • Tampa, FL
      What changed
      consecutive filings, newest first
      • Accounts · 26 to 20
        Jun 27, 2012 to Apr 1, 2013
      • Advisory employees · unset to 11.0
        Jun 27, 2012 to Apr 1, 2013
      • Advisory activities · 1 to 2
        Jun 27, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Jun 27, 2012 to Apr 1, 2013
      • Assets in custody · $309M to $102M
        Jun 27, 2012 to Apr 1, 2013
      • Employees · unset to 26.0
        Jun 27, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Jun 27, 2012 to Apr 1, 2013
      • Private funds · 26 to 1
        Jun 27, 2012 to Apr 1, 2013
      • Discretionary RAUM · $309M to $194M
        Jun 27, 2012 to Apr 1, 2013
      • RAUM · $309M to $194M
        Jun 27, 2012 to Apr 1, 2013
      • Accounts · 2 to 26
        Feb 15, 2012 to Jun 27, 2012
      • Assets in custody · $24.0M to $309M
        Feb 15, 2012 to Jun 27, 2012
      • Private funds · unset to 26
        Feb 15, 2012 to Jun 27, 2012
      • Discretionary RAUM · $119M to $309M
        Feb 15, 2012 to Jun 27, 2012
      • RAUM · $119M to $309M
        Feb 15, 2012 to Jun 27, 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