DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•••• F•••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 161171SEC 801-73463IAPD
Latest filing Jul 28, 2015
First filing on the tape Feb 13, 2012 · 7 filings
RAUM
$231M
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
n/a
beyond the principal office
Private funds
1
$231M gross assets
History
7 filings and snapshots on the tape
RAUM$235M as of Mar 31, 2015
Mar 26, 2013$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 26, 20130 then
Employees (5.A)5 as of Mar 31, 2015
Mar 26, 20136 then
Private funds1 as of Mar 31, 2015
Mar 26, 20131 then
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 28, 2015; 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
$57.7MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%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
$231M, 4 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)
  • 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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$231M for 4 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••• F•••• C•••••• M••••• F••• L•••Hedge Fund$231M12Mar 26, 2013
      S•••• F•••• C•••••• P••••••• I•• L••no longer reportedHedge Fund$74.8M2Feb 13, 2012
      S•••• F•••• C•••••• F•••• L•••no longer reportedHedge Fund$58.7M4Feb 13, 2012
      S•••• F•••• C•••••• P•••••••• L••no longer reportedHedge Fund$28.7M13Feb 13, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• J••••• M•••••• · Limited Partnercontrol
        since 04/2010 · owns 10% to 25%
      • R•••••• J•••• E••••• · Limited Partnercontrol
        since 04/2010 · owns 75% or more
      • R•••••• J•••• E••••• · Managing Membercontrol
        since 04/2010 · owns 75% or more of S••• G•• L••
      • F••••••••• G•••• F•••••• · Chief Compliance Officer
        since 07/2015 · owns less than 5%
      Entity owners
      • S••• G•• L•• · General Partner Of S•••• F•••• C•••••• M••••••••• L•
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $235M to $231M
        Mar 31, 2015 to Jul 28, 2015
      • Employees · 5 to 3
        Mar 31, 2015 to Jul 28, 2015
      • Discretionary RAUM · $235M to $231M
        Mar 31, 2015 to Jul 28, 2015
      • RAUM · $235M to $231M
        Mar 31, 2015 to Jul 28, 2015
      • Advisory employees · 4 to 3
        Jun 30, 2014 to Mar 31, 2015
      • Assets in custody · $209M to $235M
        Jun 30, 2014 to Mar 31, 2015
      • Employees · 6 to 5
        Jun 30, 2014 to Mar 31, 2015
      • Discretionary RAUM · $209M to $235M
        Jun 30, 2014 to Mar 31, 2015
      • RAUM · $209M to $235M
        Jun 30, 2014 to Mar 31, 2015
      • Assets in custody · $188M to $209M
        Mar 26, 2013 to Mar 28, 2014
      • Discretionary RAUM · $188M to $209M
        Mar 26, 2013 to Mar 28, 2014
      • RAUM · $188M to $209M
        Mar 26, 2013 to Mar 28, 2014
      • Advisory employees · unset to 4.0
        Sep 11, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Sep 11, 2012 to Mar 26, 2013
      • Assets in custody · unset to 187689166.0
        Sep 11, 2012 to Mar 26, 2013
      • Custody of client assets · false to true
        Sep 11, 2012 to Mar 26, 2013
      • Employees · unset to 6.0
        Sep 11, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Sep 11, 2012 to Mar 26, 2013
      • Private funds · 3 to 1
        Sep 11, 2012 to Mar 26, 2013
      • Discretionary RAUM · $218M to $188M
        Sep 11, 2012 to Mar 26, 2013
      • RAUM · $218M to $188M
        Sep 11, 2012 to Mar 26, 2013
      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