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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SEC-registered adviser
A••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 22 filings
SEC status approved since Mar 28, 2012
RAUM
$69.3M
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
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$69.3M as of Mar 31, 2026
Mar 28, 2013$6.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)3 as of Mar 31, 2026
Mar 28, 20133 then
Private funds2 as of Mar 31, 2026
Mar 28, 201315 then
RAUM -78% over the last fiscal year-48% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Mar 31, 2026; 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
- $34.6MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -78%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
- $69.3M, 2 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$69.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.3M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• P••••••• V•• L••• | Private Equity Fund | $164M | 131 | Feb 14, 2012 |
| A••• P••••••• V• L••• | Private Equity Fund | $79.9M | 99 | Feb 14, 2012 |
| A••• A••••••• S••••••••• F••• I•• L••• | Hedge Fund | $67.9M | 102 | Feb 14, 2012 |
| A••• S••••• E••••• I•• L••• | Private Equity Fund | $60.5M | 77 | Feb 14, 2012 |
| A••• S••••• E••••• I••• L••• | Private Equity Fund | $60.4M | 95 | Feb 14, 2012 |
| A••• M•••••••• P•••••••• L•••no longer reported | Private Equity Fund | $56.8M | 73 | Feb 14, 2012 |
| A••• P••••••• I•• L•••no longer reported | Private Equity Fund | $47.3M | 104 | Feb 14, 2012 |
| A••• A••••••• S••••••••• F•••• L••• | Hedge Fund | $23.1M | 57 | Feb 14, 2012 |
| A••• I••••••••• P••••••••• L••• | Private Equity Fund | $6.3M | 92 | Feb 14, 2012 |
| A••• S••••• E••••• I•••• L••• | Private Equity Fund | $3.6M | 7 | Feb 14, 2012 |
| A••• P••••••• V• A••••••••• I••••••••• L••• | Private Equity Fund | $2.0M | 17 | Feb 14, 2012 |
| A••• S••••• E••••• C••••••••• F••• I••• L••• | Private Equity Fund | $427,163 | 11 | Feb 14, 2012 |
| A••• S••••• E••••• C••••••••• F•••• L••• | Private Equity Fund | $309,574 | 17 | Feb 14, 2012 |
| A••• B•••••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $0 | 0 | Feb 14, 2012 |
| A••• B•••••••• P••••••• I••• L•••no longer reported | Private Equity Fund | $0 | 88 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• D••••• J• · Chief Financial Officercontrolsince 01/2001 · owns less than 5%
- S•••••••• K••••••••• · Chief Compliance Officer / General Counselcontrolsince 04/2012 · owns less than 5%
- Y••••••• R••••• G• · President And Managing Membercontrolsince 02/1995 · owns less than 5%
- Y••••••• R••••• G• · Managing Membercontrolsince 02/2002 · owns 75% or more of S••••••• F••••••••• L••
Entity owners
- S••••••• I•••••••• C••••••• L••• · Memberdirect · owns 75% or more
- S••••••• F••••••••• L•• · Sole Shareholderindirect · owns 75% or more of S••••••• I•••••••• C••••••• L•••
Related persons
Schedule D 7.A
- A••• A•• I•••••••• I•• L•••bankpooled vehicle sponsorn
- A••• A•• I••••••••• L•••bankpooled vehicle sponsorn
- A••• I••••••••• G•• L••pooled vehicle sponsorn
- A••• S••••• E••••• C••••••••• G• I••• L••pooled vehicle sponsorn
- A••• S••••• E••••• C••••••••• G•• L••pooled vehicle sponsorn
- A••• S••••• E••••• I•••••••• I•• L•••pooled vehicle sponsorn
- A••• S••••• E••••• I•••••••• I••• L•••pooled vehicle sponsorn
- A••• V• C•••••• P•••••••• L•••pooled vehicle sponsorn
- S••••••• I•••••••• C••••••• L•••real estaten
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $311,138,462 to $69,285,676 (-78.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was -12.0% (97 comparable advisers, 9.0th percentile of changes)peers: asset managers, under $100M (97) · 9.4% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 2Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 7 to 2Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $311M to $69.3MMar 31, 2025 to Mar 31, 2026
- Other offices · 1 to 2Mar 31, 2025 to Mar 31, 2026
- Private funds · 6 to 2Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $311M to $69.3MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $311M to $69.3MMar 31, 2025 to Mar 31, 2026
- RAUM · $311M to $69.3MMar 31, 2025 to Mar 31, 2026
- Related adviser · false to trueMar 31, 2025 to Mar 31, 2026
- Accounts · 10 to 7Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 10 to 7Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $386M to $311MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Private funds · 9 to 6Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $386M to $311MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $386M to $311MMar 29, 2024 to Mar 31, 2025
- RAUM · $386M to $311MMar 29, 2024 to Mar 31, 2025
- Accounts · 12 to 10Mar 29, 2023 to Mar 29, 2024
- Pooled vehicle clients · 12 to 10Mar 29, 2023 to Mar 29, 2024
- Assets in custody · $503M to $386MMar 29, 2023 to Mar 29, 2024
- Private funds · 11 to 9Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $503M to $386MMar 29, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $503M to $386MMar 29, 2023 to Mar 29, 2024
- RAUM · $503M to $386MMar 29, 2023 to Mar 29, 2024
- Assets in custody · $558M to $503MMar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $558M to $503MMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $558M to $503MMar 30, 2022 to Mar 29, 2023
- RAUM · $558M to $503MMar 30, 2022 to Mar 29, 2023
- Accounts · 15 to 12Mar 30, 2021 to Mar 30, 2022
- Pooled vehicle clients · 15 to 12Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $707M to $558MMar 30, 2021 to Mar 30, 2022
- Private funds · 13 to 11Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $707M to $558MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $707M to $558MMar 30, 2021 to Mar 30, 2022
- RAUM · $707M to $558MMar 30, 2021 to Mar 30, 2022
- Assets in custody · $1.3B to $707MMar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.3B to $707MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $1.3B to $707MMar 30, 2020 to Mar 30, 2021
- RAUM · $1.3B to $707MMar 30, 2020 to Mar 30, 2021
- Accounts · 14 to 15Oct 3, 2019 to Mar 30, 2020
Signals
3 dated events
- A••• P•••••••• L•• reported RAUM $69.3M, down 78% from $311.1M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- A••• P•••••••• L•• reported RAUM $707.2M, down 47% from $1.3B (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- A••• P•••••••• L•• reported RAUM $1.7B, down 40% from $2.8B (2017-03-31 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- A••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- A•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-859-2959reportedpublic record, Form ADV, Mar 31, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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