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••••••• F••• M••••••••• L•

Former SEC-registered adviserSteamboat Springs, ColoradoCRD 161255SEC 801-73901IAPD
Latest filing Mar 29, 2018
First filing on the tape Feb 14, 2012 · 10 filings
RAUM
$42.5M
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
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$11.8M gross assets
History
10 filings and snapshots on the tape
RAUM$42.5M as of Mar 29, 2018
Mar 14, 2013$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 29, 2018
Mar 14, 20130 then
Employees (5.A)3 as of Mar 29, 2018
Mar 14, 20133 then
Private funds1 as of Mar 29, 2018
Mar 14, 20131 then
RAUM -70% over the last fiscal year-30% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$42.5MderivedRAUM 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
$8.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-70%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$13.0M, 3 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
  • 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
  • Corporations and businesses$16.6M39%
  • Pooled investment vehicles$13.0M31%
  • Charitable organizations$12.9M30%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$13.0M for 3 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••••• G••••• E••••• M••••• F••• L•Hedge Fund$11.8M20Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L••••••• T•••• D•••••• · Cfo, Ccocontrol
        since 01/2012 · owns less than 5%
      • G•••••• J•••••••• W•••••• · Managing Membercontrol
        since 02/1998 · owns 75% or more of S••••••• A••••••• L••
      • G•••••• J•••••••• W•••••• · Managing Membercontrol
        since 11/2006 · owns 75% or more of J•• F••••• L••
      • R•••• G••••••• R••••• · Analystcontrol
        since 03/2006 · owns F of G•• C•••••• L••
      • H•••••• D•••••• M•••••••• · Trustee
        since 02/2001 · owns 25% to 50% of J••••••• W• G••••• • M••• M• G••••• 2••• T••••
      Entity owners
      • G•• C•••••• L•• · Limited Partner
        direct · owns 10% to 25%
      • J•• F••••• L•• · Limited Partner
        direct · owns 50% to 75%
      • S••••••• A••••••• L•• · General Partner
        direct · owns less than 5%
      • J••••••• W• G••••• • M••• M• G••••• 2••• T•••• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • S••••••• A••••••• L••
        pooled vehicle sponsory
      • S••••••• F••• M••••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Charity clients · unset to 1.0
        Sep 28, 2017 to Mar 29, 2018
      • Corporate clients · unset to 1.0
        Sep 28, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Sep 28, 2017 to Mar 29, 2018
      • Assets in custody · $27.2M to $13.0M
        Sep 28, 2017 to Mar 29, 2018
      • State-registered IARs · 0 to 1
        Sep 28, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Sep 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $141M to $42.5M
        Sep 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 12980000.0
        Sep 28, 2017 to Mar 29, 2018
      • RAUM · $141M to $42.5M
        Sep 28, 2017 to Mar 29, 2018
      • Assets in custody · $13.8M to $27.2M
        Apr 8, 2016 to Mar 31, 2017
      • HQ city · BERNARDSVILLE to STEAMBOAT SPRINGS
        Apr 8, 2016 to Mar 31, 2017
      • HQ state · NJ to CO
        Apr 8, 2016 to Mar 31, 2017
      • Organization form · Partnership to Limited Partnership
        Apr 8, 2016 to Mar 31, 2017
      • Discretionary RAUM · $79.1M to $141M
        Apr 8, 2016 to Mar 31, 2017
      • RAUM · $79.1M to $141M
        Apr 8, 2016 to Mar 31, 2017
      • Assets in custody · $11.9M to $13.8M
        Apr 7, 2015 to Mar 30, 2016
      • HQ city · SHORT HILLS to BERNARDSVILLE
        Apr 7, 2015 to Mar 30, 2016
      • Discretionary RAUM · $126M to $79.1M
        Apr 7, 2015 to Mar 30, 2016
      • RAUM · $126M to $79.1M
        Apr 7, 2015 to Mar 30, 2016
      • Assets in custody · $20.4M to $11.9M
        Mar 27, 2014 to Mar 31, 2015
      • Discretionary RAUM · $130M to $126M
        Mar 27, 2014 to Mar 31, 2015
      • RAUM · $130M to $126M
        Mar 27, 2014 to Mar 31, 2015
      • Assets in custody · $33.5M to $20.4M
        Mar 14, 2013 to Mar 27, 2014
      • Discretionary RAUM · $103M to $130M
        Mar 14, 2013 to Mar 27, 2014
      • RAUM · $103M to $130M
        Mar 14, 2013 to Mar 27, 2014
      • Advisory employees · unset to 2.0
        Feb 14, 2012 to Mar 14, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 14, 2013
      • Employees · unset to 3.0
        Feb 14, 2012 to Mar 14, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 14, 2013
      • Discretionary RAUM · $175M to $103M
        Feb 14, 2012 to Mar 14, 2013
      • RAUM · $175M to $103M
        Feb 14, 2012 to Mar 14, 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