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

E••••• A•••• M••••••••• B•••

Former SEC-registered adviserAmsterdam, CRD 161267SEC 801-74409IAPD
Latest filing May 23, 2017
First filing on the tape Feb 23, 2012 · 13 filings
RAUM
$1.6B
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
30
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$656M gross assets
History
13 filings and snapshots on the tape
RAUM$1.6B as of Mar 31, 2017
Mar 28, 2013$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 28, 20130 then
Employees (5.A)30 as of Mar 31, 2017
Mar 28, 201326 then
Private funds4 as of Mar 31, 2017
Mar 28, 20134 then
RAUM -7.3% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 23, 2017; 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
$92.7MderivedRAUM 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
-7.3%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 businesses and institutions, 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
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
17reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••• A•••• 2• M••••• F••• L•••Hedge Fund$230M12Feb 23, 2012
      E••••• S••••• F••• L•Hedge Fund$209M2Feb 23, 2012
      E••••• A•••• M••••• F••• L•••Hedge Fund$191M32Feb 23, 2012
      E••••• L••••••••• M••••• F••• L•••no longer reportedHedge Fund$132M7Mar 3, 2014
      E••••• D•••••• A••••••••• M••••• F••• L•••Hedge Fund$24.9M2Feb 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• J••••••••• H•••• · Supervisory Board Membercontrol
        since 06/2011 · owns less than 5%
      • B••••••••• D•••••• A••••••••• · Supervisory Board Membercontrol
        since 03/2016 · owns less than 5%
      • C•••••••• R••••••• E••••• · Supervisory Board Membercontrol
        since 06/2014 · owns less than 5%
      • M•••••••• I•• · Chief Executive Officercontrol
        since 11/2008 · owns less than 5%
      • V••••••• P••••••• B••••• F••••••• · Chief Compliance Officer And Chief Financial Officercontrol
        since 07/2013 · owns less than 5%
      Entity owners
      • E••••• A•••• M••••••••• H••••••• B••• · Corporation
        direct · owns 75% or more
      • A•••• B••• · Shareholder
        indirect · owns 50% to 75% of L•••• D•••••• H•••••• B•••
      • A•••• H•••••• F••••••••• · Shareholder
        indirect · owns 75% or more of A•••• B•••
      • L•••• D•••••• H•••••• B••• · Shareholder
        indirect · owns 75% or more of S•••••••• A••••••••• E••••• A•••• M•••••••••
      • S•••••••• A••••••••• E••••• A•••• M••••••••• · Shareholder
        indirect · owns 75% or more of E••••• A•••• M••••••••• H••••••• B•••
      Related persons
      Schedule D 7.A
      • E••••• A••••••••• D•••••• G• L•••
        pooled vehicle sponsorn
      • E••••• A•••• 2• G• L•••
        pooled vehicle sponsorn
      • E••••• A•••• G• L•••
        pooled vehicle sponsorn
      • E••••• A•••• M••••••••• S••••••••• S•
        investment advisern
      • E••••• A•••• M••••••••• U• L•••
        investment adviserbankn
      • E••••• S••••• G• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 17
        Mar 30, 2016 to Mar 31, 2017
      • Advisory activities · 1 to 2
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.7B to $1.6B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $1.7B to $1.6B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 5 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 20 to 14
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · 0.0 to unset
        Mar 31, 2015 to Mar 30, 2016
      • Custody of client assets · true to false
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 33 to 30
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 5 to 4
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $2.1B to $1.7B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $2.1B to $1.7B
        Mar 31, 2015 to Mar 30, 2016
      • Related bank · false to true
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 18 to 20
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 31 to 33
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $3.1B to $2.1B
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $3.1B to $2.1B
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 16 to 18
        Mar 3, 2014 to Mar 31, 2014
      • Employees · 26 to 31
        Mar 3, 2014 to Mar 31, 2014
      • Discretionary RAUM · $2.5B to $3.1B
        Mar 3, 2014 to Mar 31, 2014
      • RAUM · $2.5B to $3.1B
        Mar 3, 2014 to Mar 31, 2014
      • Accounts · 4 to 5
        Sep 17, 2013 to Mar 3, 2014
      • Private funds · 4 to 5
        Sep 17, 2013 to Mar 3, 2014
      • Discretionary RAUM · $3.2B to $2.5B
        Sep 17, 2013 to Mar 3, 2014
      • RAUM · $3.2B to $2.5B
        Sep 17, 2013 to Mar 3, 2014
      • Business name · L•••• D•••••• I••••••••• G•••• to E••••• A•••• M••••••••• B•••
        Sep 12, 2013 to Sep 12, 2013
      • Legal name · L•••• D•••••• I••••••••• G•••• (COMMODITIES) BV to E••••• A•••• M••••••••• B•••
        Sep 12, 2013 to Sep 12, 2013
      • Advisory employees · unset to 16.0
        Jul 25, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Jul 25, 2012 to Mar 28, 2013
      • Employees · unset to 26.0
        Jul 25, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Jul 25, 2012 to Mar 28, 2013
      • Discretionary RAUM · $2.3B to $3.2B
        Jul 25, 2012 to Mar 28, 2013
      • RAUM · $2.3B to $3.2B
        Jul 25, 2012 to Mar 28, 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