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 adviserCRD 161053SEC 801-74069IAPD
Latest filing Apr 12, 2022
First filing on the tape Feb 14, 2012 · 21 filings
RAUM
$3.8M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$3.8M gross assets
History
21 filings and snapshots on the tape
RAUM$3.8M as of Jan 20, 2022
Mar 28, 2013$298M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 20, 2022
Mar 28, 20130 then
Employees (5.A)1 as of Jan 20, 2022
Mar 28, 20134 then
Private funds1 as of Jan 20, 2022
Mar 28, 20132 then
RAUM -98% over the last fiscal year-72% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 12, 2022; 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
$3.8MderivedRAUM 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
-98%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
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)
  • 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$3.8M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 1 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••••• L••• S••••••• F••• ••••••••• L•••no longer reportedHedge Fund$111M1Feb 14, 2012
      A•••••••• L••• S••••••• F•••• L•Hedge Fund$3.8M5Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• M••••••• R••••• · Chief Financial Officercontrol
        since 12/2005 · owns less than 5%
      • H••••••• G••••••• A••• · Chief Compliance Officercontrol
        since 12/2020 · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••••• C••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · NORTH PALM BEACH to unset
        Jan 20, 2022 to Apr 12, 2022
      • HQ state · FL to unset
        Jan 20, 2022 to Apr 12, 2022
      • Advisory employees · 3 to 1
        Jan 5, 2021 to Jan 20, 2022
      • Employees · 4 to 1
        Jan 5, 2021 to Jan 20, 2022
      • Discretionary RAUM · $160M to $3.8M
        Jan 5, 2021 to Jan 20, 2022
      • Pooled vehicle RAUM · $160M to $3.8M
        Jan 5, 2021 to Jan 20, 2022
      • RAUM · $160M to $3.8M
        Jan 5, 2021 to Jan 20, 2022
      • HQ city · PALM BEACH GARDENS to NORTH PALM BEACH
        Feb 25, 2020 to Jul 6, 2020
      • Discretionary RAUM · $119M to $160M
        Apr 29, 2019 to Feb 25, 2020
      • Pooled vehicle RAUM · $119M to $160M
        Apr 29, 2019 to Feb 25, 2020
      • RAUM · $119M to $160M
        Apr 29, 2019 to Feb 25, 2020
      • Accounts · 2 to 1
        Apr 30, 2018 to Mar 26, 2019
      • Pooled vehicle clients · 2 to 1
        Apr 30, 2018 to Mar 26, 2019
      • Private funds · 2 to 1
        Apr 30, 2018 to Mar 26, 2019
      • Discretionary RAUM · $174M to $119M
        Apr 30, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $174M to $119M
        Apr 30, 2018 to Mar 26, 2019
      • RAUM · $174M to $119M
        Apr 30, 2018 to Mar 26, 2019
      • Pooled vehicle clients · unset to 2.0
        Apr 26, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Apr 26, 2017 to Mar 26, 2018
      • Discretionary RAUM · $233M to $174M
        Apr 26, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 173651199.0
        Apr 26, 2017 to Mar 26, 2018
      • RAUM · $233M to $174M
        Apr 26, 2017 to Mar 26, 2018
      • Discretionary RAUM · $344M to $233M
        Mar 23, 2016 to Mar 15, 2017
      • RAUM · $344M to $233M
        Mar 23, 2016 to Mar 15, 2017
      • Discretionary RAUM · $317M to $344M
        Jun 19, 2015 to Mar 23, 2016
      • RAUM · $317M to $344M
        Jun 19, 2015 to Mar 23, 2016
      • Discretionary RAUM · $316M to $317M
        Jun 11, 2014 to Mar 18, 2015
      • RAUM · $316M to $317M
        Jun 11, 2014 to Mar 18, 2015
      • Discretionary RAUM · $298M to $316M
        Jan 9, 2014 to Mar 27, 2014
      • RAUM · $298M to $316M
        Jan 9, 2014 to Mar 27, 2014
      • HQ city · NEW YORK to PALM BEACH GARDENS
        May 30, 2013 to Jan 9, 2014
      • HQ state · NY to FL
        May 30, 2013 to Jan 9, 2014
      • Advisory employees · unset to 3.0
        Apr 20, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Apr 20, 2012 to Mar 28, 2013
      • Assets in custody · unset to 0.0
        Apr 20, 2012 to Mar 28, 2013
      • Custody of client assets · false to true
        Apr 20, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        Apr 20, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Apr 20, 2012 to Mar 28, 2013
      • Discretionary RAUM · $209M to $298M
        Apr 20, 2012 to Mar 28, 2013
      • RAUM · $209M to $298M
        Apr 20, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • A•••••••• C•••••• M••••••••• L•• reported RAUM $3.8M, down 98% from $159.7M (2021-01-05 to 2022-01-20)
        Jan 20, 2022 · 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