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••• S••• C•••••• C•••
Latest filing Mar 24, 2021
First filing on the tape Feb 14, 2012 · 11 filings
RAUM
$1.2B
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
0
beyond the principal office
Private funds
1
$1.2B gross assets
History
11 filings and snapshots on the tape
RAUM$1.2B as of Mar 24, 2021
Mar 26, 2013$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2021
Mar 26, 20130 then
Employees (5.A)3 as of Mar 24, 2021
Mar 26, 20134 then
Private funds1 as of Mar 24, 2021
Mar 26, 20133 then
RAUM -11% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2021; 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
- $1.2BderivedRAUM 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
- -11%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
- $1.2B, 1 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
- Pooled investment vehicles$1.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 1 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••• S••• C••••••• L• | Hedge Fund | $1.2B | 34 | Feb 14, 2012 |
| M•••••• C•••••• L•no longer reported | Hedge Fund | $950M | 1 | Feb 14, 2012 |
| E••• S••• C•••••• M••••• F•••• L••• | Hedge Fund | $30.7M | 19 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- N••••••• D•••••• J•••• · Coo And Ccocontrolsince 01/2011 · owns less than 5%
- R•••••• D••••• M•••••• · Pres•••Ntcontrolsince 01/2011 · owns 50% to 75%
- R••••••• S•••••• F•••••••• · Ceocontrolsince 12/1992 · owns 50% to 75%
Related persons
Schedule D 7.A
- R• P•••••••• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 1Mar 26, 2020 to Mar 24, 2021
- Pooled vehicle clients · 3 to 1Mar 26, 2020 to Mar 24, 2021
- Assets in custody · $0 to $1.2BMar 26, 2020 to Mar 24, 2021
- Private funds · 2 to 1Mar 26, 2020 to Mar 24, 2021
- Discretionary RAUM · $1.4B to $1.2BMar 26, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $1.4B to $1.2BMar 26, 2020 to Mar 24, 2021
- RAUM · $1.4B to $1.2BMar 26, 2020 to Mar 24, 2021
- Discretionary RAUM · $1.4B to $1.4BMar 26, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $1.4B to $1.4BMar 26, 2019 to Mar 26, 2020
- RAUM · $1.4B to $1.4BMar 26, 2019 to Mar 26, 2020
- Accounts · 4 to 3Mar 27, 2018 to Mar 26, 2019
- Advisory employees · 4 to 2Mar 27, 2018 to Mar 26, 2019
- Pooled vehicle clients · 4 to 3Mar 27, 2018 to Mar 26, 2019
- Employees · 4 to 3Mar 27, 2018 to Mar 26, 2019
- Private funds · 3 to 2Mar 27, 2018 to Mar 26, 2019
- Discretionary RAUM · $2.6B to $1.4BMar 27, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $2.6B to $1.4BMar 27, 2018 to Mar 26, 2019
- RAUM · $2.6B to $1.4BMar 27, 2018 to Mar 26, 2019
- Pooled vehicle clients · unset to 4.0Mar 28, 2017 to Mar 27, 2018
- Assets in custody · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Custody of client assets · false to trueMar 28, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Discretionary RAUM · $3.4B to $2.6BMar 28, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 2597540000.0Mar 28, 2017 to Mar 27, 2018
- RAUM · $3.4B to $2.6BMar 28, 2017 to Mar 27, 2018
- Related adviser · true to falseMar 28, 2017 to Mar 27, 2018
- Discretionary RAUM · $4.1B to $3.4BMar 29, 2016 to Mar 28, 2017
- RAUM · $4.1B to $3.4BMar 29, 2016 to Mar 28, 2017
- Discretionary RAUM · $5.0B to $4.1BMar 27, 2015 to Mar 29, 2016
- RAUM · $5.0B to $4.1BMar 27, 2015 to Mar 29, 2016
- Advisory employees · 3 to 4Mar 31, 2014 to Mar 27, 2015
- Employees · 3 to 4Mar 31, 2014 to Mar 27, 2015
- Discretionary RAUM · $4.7B to $5.0BMar 31, 2014 to Mar 27, 2015
- RAUM · $4.7B to $5.0BMar 31, 2014 to Mar 27, 2015
- Employees · 4 to 3Mar 26, 2013 to Mar 31, 2014
- Discretionary RAUM · $3.2B to $4.7BMar 26, 2013 to Mar 31, 2014
- RAUM · $3.2B to $4.7BMar 26, 2013 to Mar 31, 2014
- Advisory employees · unset to 3.0Feb 14, 2012 to Mar 26, 2013
- BD registered reps · unset to 0.0Feb 14, 2012 to Mar 26, 2013
- Assets in custody · 2121900000.0 to unsetFeb 14, 2012 to Mar 26, 2013
Signals
1 dated events
- E••• S••• C•••••• C••• reported RAUM $1.4B, down 47% from $2.6B (2018-03-27 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
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