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

S••••• C•••••• A•••••••• L•••

Former SEC-registered adviserStamford, ConnecticutCRD 161111SEC 801-74065IAPD
Latest filing Aug 26, 2016
First filing on the tape Feb 14, 2012 · 36 filings
RAUM
$354M
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$650M gross assets
History
36 filings and snapshots on the tape
RAUM$354M as of Mar 30, 2016
Apr 1, 2013$51B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Apr 1, 20130 then
Employees (5.A)10 as of Mar 30, 2016
Apr 1, 2013950 then
Private funds10 as of Mar 30, 2016
Apr 1, 201330 then
RAUM -29% over the last fiscal year-81% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 26, 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
$35.4MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-29%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$354M, 10 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)
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
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$354M for 10 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
      24 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• G••••• M••••••••• L••no longer reportedHedge Fund$9.4B36Feb 14, 2012
      S••••• S••••• F•••• L••no longer reportedHedge Fund$4.8B38Mar 31, 2014
      S••••• M••••••••• F•••• L•••no longer reportedHedge Fund$3.1B37Feb 14, 2012
      S••••• G••••• D••••••••• F•••• L•••no longer reportedHedge Fund$1.4B3Feb 14, 2012
      S••••• A•••••••• F•••• L••no longer reportedHedge Fund$913M184Feb 14, 2012
      S••••• C•••••• R• F•••• L•••no longer reportedHedge Fund$541M2Nov 21, 2012
      S••••• G••••• D••••••••• ••••• F•••• L•••no longer reportedHedge Fund$540M22Feb 14, 2012
      P•••••••• C•••••• A••••••••• L••no longer reportedHedge Fund$464M186Feb 14, 2012
      7• C•••••• I••••••••• L•••Hedge Fund$300M97Mar 31, 2014
      S••••• M••••••••• ••••••••• L•••no longer reportedHedge Fund$142M10Feb 14, 2012
      7• L••• H•••••••• L•••Private Equity Fund$132M61Feb 14, 2012
      S••••• S••••••• F•••• L••Hedge Fund$106M96Feb 14, 2012
      L••• L•••••• F•••• L•••no longer reportedHedge Fund$77.8M43Feb 14, 2012
      7• M••••••••• M•••••• L•••Hedge Fund$56.4M72Feb 14, 2012
      S••••• C•••••• I••••••••• U••• T••••no longer reportedHedge Fund$55.0M1Feb 14, 2012
      7• C•••••• M••••••••• L•••Hedge Fund$52.1M128Mar 31, 2014
      S••••• D••••••••• S••••••••• L••no longer reportedHedge Fund$49.5M184Aug 8, 2012
      S••••• G••••• I••••••••• L•••no longer reportedHedge Fund$18.1M37Feb 14, 2012
      S••••• S•••••••• I••••••••• L••no longer reportedHedge Fund$2.7M37Feb 14, 2012
      S••••• O••••••• C•••••• F••••••• L•••Other Private Fund$2.7M71Feb 14, 2012
      S••••• D••••••• C•••••• F••••••• L•••Other Private Fund$789,100114Feb 14, 2012
      7• D••••••• C•••••• L•••Other Private Fund$297,937114Feb 14, 2012
      S••••• P•••••• E••••• I••••••••• L•••Private Equity Fund$214,556197Feb 14, 2012
      7• O••••••• C•••••• L•••Other Private Fund$119,48595Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• S•••••• A••• · Chief Executive Officercontrol
        since 01/1992 · owns less than 5%
      • H•••••• D••••••• D••• · Presidentcontrol
        since 08/2014 · owns less than 5%
      • T••••••••• V••••••• N•• · Chief Compliance Officercontrol
        since 10/2014 · owns less than 5%
      • C••••• S•••••• A••• · Limited Partnercontrol
        since 10/2008 · owns 75% or more of P•••••• C•••••• H•••••••• L•••
      • C••••• S•••••• A••• · Sole Shareholdercontrol
        since 10/2008 · owns 75% or more of P•••••• C•••••• A•••••••• I•••
      Entity owners
      • P•••••• C•••••• A•••••••• I••• · General Partner (S••••• C•••••• A•••••••• L•••)
        direct · owns less than 5%
      • P•••••• C•••••• H•••••••• L••• · Limited Partner (S••••• C•••••• A•••••••• L•••)
        direct · owns 75% or more
      • S••••• C•••••• A•••••••• L••• · Member (72 Credit Management, LLC)
        direct · owns 75% or more
      • P•••••• C•••••• A•••••••• I••• · General Partner
        indirect · owns F of P•••••• C•••••• H•••••••• L•••
      Related persons
      Schedule D 7.A
      • 7• C••••• G•• L••
        pooled vehicle sponsorn
      • P•••••• A•••• M••••••••• L•••
        bankn
      • P•••••• C•••••• M••••••••• L••
        bankpooled vehicle sponsorn
      • S••••• P•••••• E••••• G•• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Assets in custody · $500M to $354M
        Jan 13, 2016 to Mar 30, 2016
      • Discretionary RAUM · $500M to $354M
        Jan 13, 2016 to Mar 30, 2016
      • RAUM · $500M to $354M
        Jan 13, 2016 to Mar 30, 2016
      • Assets in custody · $704M to $500M
        Mar 2, 2015 to Mar 31, 2015
      • Discretionary RAUM · $704M to $500M
        Mar 2, 2015 to Mar 31, 2015
      • RAUM · $704M to $500M
        Mar 2, 2015 to Mar 31, 2015
      • Accounts · 29 to 10
        Mar 31, 2014 to Apr 11, 2014
      • Advisory employees · 340 to 5
        Mar 31, 2014 to Apr 11, 2014
      • Assets in custody · $42B to $704M
        Mar 31, 2014 to Apr 11, 2014
      • Employees · 800 to 10
        Mar 31, 2014 to Apr 11, 2014
      • Private funds · 27 to 10
        Mar 31, 2014 to Apr 11, 2014
      • Discretionary RAUM · $42B to $704M
        Mar 31, 2014 to Apr 11, 2014
      • RAUM · $42B to $704M
        Mar 31, 2014 to Apr 11, 2014
      • Accounts · 31 to 29
        Mar 3, 2014 to Mar 31, 2014
      • Advisory employees · 400 to 340
        Mar 3, 2014 to Mar 31, 2014
      • Assets in custody · $51B to $42B
        Mar 3, 2014 to Mar 31, 2014
      • Employees · 950 to 800
        Mar 3, 2014 to Mar 31, 2014
      • Private funds · 30 to 27
        Mar 3, 2014 to Mar 31, 2014
      • Discretionary RAUM · $51B to $42B
        Mar 3, 2014 to Mar 31, 2014
      • RAUM · $51B to $42B
        Mar 3, 2014 to Mar 31, 2014
      • Accounts · 30 to 31
        Nov 23, 2012 to Apr 1, 2013
      • Assets in custody · $44B to $51B
        Nov 23, 2012 to Apr 1, 2013
      • Employees · 900 to 950
        Nov 23, 2012 to Apr 1, 2013
      • Discretionary RAUM · $44B to $51B
        Nov 23, 2012 to Apr 1, 2013
      • RAUM · $44B to $51B
        Nov 23, 2012 to Apr 1, 2013
      • Advisory employees · unset to 400.0
        Oct 1, 2012 to Nov 21, 2012
      • BD registered reps · unset to 0.0
        Oct 1, 2012 to Nov 21, 2012
      • Employees · unset to 900.0
        Oct 1, 2012 to Nov 21, 2012
      • State-registered IARs · unset to 0.0
        Oct 1, 2012 to Nov 21, 2012
      • Private funds · 29 to 30
        Oct 1, 2012 to Nov 21, 2012
      • Private funds · 28 to 29
        Aug 2, 2012 to Aug 8, 2012
      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