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
C•••••••• P••••••• I••••••••• M••••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Feb 22, 2012 · 10 filings
SEC status approved since Jun 20, 2025
RAUM
$169M
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
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$169M as of Feb 13, 2026
Feb 21, 2013$47.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 13, 2026
Feb 21, 20130 then
Employees (5.A)5 as of Feb 13, 2026
Feb 21, 20134 then
Private funds3 as of Feb 13, 2026
Feb 21, 20131 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 13, 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
- $56.3MderivedRAUM 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
- 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$169M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• R•••• S••• L• | Private Equity Fund | $64.4M | 43 | Feb 15, 2023 |
| C•••••••• G•••••• P•••••••• L• | Private Equity Fund | $14.6M | 5 | Nov 16, 2017 |
| C•••••••• P••••••• I••••••••• F•••• L• | Private Equity Fund | $2.5M | 12 | Feb 22, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• D••••• W•••• · Managing Membercontrolsince 01/2011 · owns 75% or more
- A•••• J••••• M•••••• · Chief Financial Officer & Chief Compliance Officersince 01/2011 · 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
- Advisory employees · 2 to 3Jun 9, 2025 to Feb 13, 2026
- Employees · 3 to 5Jun 9, 2025 to Feb 13, 2026
- HQ city · NEW YORK to Jun 9, 2025 to Feb 13, 2026
- HQ state · NY to Jun 9, 2025 to Feb 13, 2026
- Other offices · 0 to 2Jun 9, 2025 to Feb 13, 2026
- Discretionary RAUM · $122M to $169MJun 9, 2025 to Feb 13, 2026
- Pooled vehicle RAUM · $122M to $169MJun 9, 2025 to Feb 13, 2026
- RAUM · $122M to $169MJun 9, 2025 to Feb 13, 2026
- Accounts · 2 to 3Mar 26, 2017 to Jun 9, 2025
- Advisory employees · 4 to 2Mar 26, 2017 to Jun 9, 2025
- Pooled vehicle clients · unset to 3.0Mar 26, 2017 to Jun 9, 2025
- Assets in custody · 16895511.0 to unsetMar 26, 2017 to Jun 9, 2025
- Custody of client assets · true to falseMar 26, 2017 to Jun 9, 2025
- Employees · 4 to 3Mar 26, 2017 to Jun 9, 2025
- Financial planning clients · 0 to Mar 26, 2017 to Jun 9, 2025
- Other offices · unset to 0.0Mar 26, 2017 to Jun 9, 2025
- Private funds · 1 to 3Mar 26, 2017 to Jun 9, 2025
- Discretionary RAUM · $16.9M to $122MMar 26, 2017 to Jun 9, 2025
- Pooled vehicle RAUM · unset to 122064398.0Mar 26, 2017 to Jun 9, 2025
- RAUM · $16.9M to $122MMar 26, 2017 to Jun 9, 2025
- Accounts · 1 to 2Jan 21, 2016 to Mar 26, 2017
- Advisory employees · 3 to 4Jan 21, 2016 to Mar 26, 2017
- Assets in custody · $26.1M to $16.9MJan 21, 2016 to Mar 26, 2017
- Employees · 3 to 4Jan 21, 2016 to Mar 26, 2017
- Discretionary RAUM · $26.1M to $16.9MJan 21, 2016 to Mar 26, 2017
- RAUM · $26.1M to $16.9MJan 21, 2016 to Mar 26, 2017
- Advisory employees · 4 to 3Dec 9, 2015 to Jan 21, 2016
- Assets in custody · $60.4M to $26.1MDec 9, 2015 to Jan 21, 2016
- Employees · 4 to 3Dec 9, 2015 to Jan 21, 2016
- Discretionary RAUM · $60.4M to $26.1MDec 9, 2015 to Jan 21, 2016
- RAUM · $60.4M to $26.1MDec 9, 2015 to Jan 21, 2016
- Assets in custody · $48.8M to $60.4MMar 17, 2014 to Feb 19, 2015
- Discretionary RAUM · $48.8M to $60.4MMar 17, 2014 to Feb 19, 2015
- RAUM · $48.8M to $60.4MMar 17, 2014 to Feb 19, 2015
- Discretionary RAUM · $47.2M to $48.8MFeb 21, 2013 to Mar 17, 2014
- RAUM · $47.2M to $48.8MFeb 21, 2013 to Mar 17, 2014
- Advisory employees · 3 to 4Feb 21, 2013 to Mar 17, 2014
- Assets in custody · $47.2M to $48.8MFeb 21, 2013 to Mar 17, 2014
- Assets in custody · $48.3M to $47.2MDec 18, 2012 to Feb 21, 2013
- Financial planning clients · unset to 0Dec 18, 2012 to Feb 21, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- C•••••••• P••••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 917-846-0764reportedpublic record, Form ADV, Feb 13, 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