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

E••••• C•••••• M••••••••• L••

Former SEC-registered adviserWestport, ConnecticutCRD 161285SEC 801-74062IAPD
Latest filing Sep 28, 2015
First filing on the tape Feb 14, 2012 · 5 filings
RAUM
$480M
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$480M gross assets
History
5 filings and snapshots on the tape
RAUM$480M as of Mar 31, 2015
Apr 1, 2013$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)10 as of Mar 31, 2015
Apr 1, 201314 then
Private funds3 as of Mar 31, 2015
Apr 1, 20133 then
RAUM -58% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 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
$53.3MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-58%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
yesreportedItem 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)
  • 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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••• C•••••• P••••••• E••••••• M••••• F•••• L••Hedge Fund$40.2M6Feb 14, 2012
      E••••• C•••••• P•••••••• L••Hedge Fund$19.8M7Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••• S••••• A••••• · Managing Membercontrol
        since 05/1996 · owns 50% to 75%
      • R•••••••• P••••• J••••• · Managing Membercontrol
        since 05/1996 · owns 50% to 75%
      • M•••••• P••••••• B•••• · Chief Compliance Officer And Chief Financial Officer
        since 09/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      • E••••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Los Angeles, CA
      What changed
      consecutive filings, newest first
      • Accounts · 15 to 9
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 7 to 5
        Mar 28, 2014 to Mar 31, 2015
      • Employees · 14 to 10
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.1B to $480M
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $1.1B to $480M
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 7
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.2B to $1.1B
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $1.2B to $1.1B
        Apr 1, 2013 to Mar 28, 2014
      • Accounts · 7 to 15
        Feb 14, 2012 to Apr 1, 2013
      • Advisory employees · unset to 6.0
        Feb 14, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Apr 1, 2013
      • Assets in custody · $757M to $0
        Feb 14, 2012 to Apr 1, 2013
      • Employees · unset to 14.0
        Feb 14, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Apr 1, 2013
      • Discretionary RAUM · $828M to $1.2B
        Feb 14, 2012 to Apr 1, 2013
      • RAUM · $828M to $1.2B
        Feb 14, 2012 to Apr 1, 2013
      • Related bank · false to true
        Feb 14, 2012 to Apr 1, 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