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••••• R•••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 161396SEC 801-74321IAPD
Latest filing Apr 15, 2013
First filing on the tape Feb 16, 2012 · 4 filings
RAUM
$80.4M
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
9
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$80.4M gross assets
History
4 filings and snapshots on the tape
RAUM$80.4M as of Apr 15, 2013
Feb 16, 2012$219M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 15, 2013
Mar 28, 20130 then
Employees (5.A)9 as of Apr 15, 2013
Mar 28, 201314 then
Private funds10 as of Apr 15, 2013
Feb 16, 201210 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 15, 2013; 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
$8.0MderivedRAUM 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
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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$80.4M, 10 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$80.4M for 10 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
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••• L•••• A••••••••• I• L••Private Equity Fund$128M499Feb 16, 2012
      F•••• L•••• A••••••••• I• L••Private Equity Fund$34.2M99Feb 16, 2012
      S•• I• L••Private Equity Fund$17.7M99Mar 31, 2014
      F•••• M••••••••• F••• I• L••Private Equity Fund$16.5M252Feb 16, 2012
      S•• I• L••Private Equity Fund$14.8M99Mar 30, 2015
      P•••• A••••••••• I• L••Private Equity Fund$14.4M29Feb 16, 2012
      N••• F••• I• L••Private Equity Fund$11.8M78Apr 1, 2013
      N••• F••• I• L••Private Equity Fund$11.0M97Apr 1, 2013
      S•• I•• L••Private Equity Fund$7.3M40Mar 30, 2015
      L•••• A••••••• A•••••••••Private Equity Fund$4.0M30Feb 16, 2012
      F•••• V•••••• P••••••• Q•••• L••Private Equity Fund$3.7M28Feb 16, 2012
      S•••• A••••••••• I• L••Private Equity Fund$2.8M23Feb 16, 2012
      F•••• M••••••••• F••• I• L••Private Equity Fund$1.3M99Feb 16, 2012
      L•••• I•••• A••••••••• L••Private Equity Fund$912,70612Feb 16, 2012
      S•••• A••••••••• I• L••Private Equity Fund$578,78429Feb 16, 2012
      S•••• F••• A••••••••• L••Private Equity Fund$520,00052Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J•••• V•••••• · Membercontrol
        since 06/2011 · owns 50% to 75%
      • M••••••• F••••• G•••••• · Member/Chief Executive Officercontrol
        since 06/2011 · owns 50% to 75%
      • D••••••• S••••• M•••••• · Chief Compliance Officer
        since 06/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · F•••• A••••••• L•• to S••••• R•••• A••••••• L••
        Apr 1, 2013 to Apr 15, 2013
      • Legal name · F•••• A••••••• L•• to S••••• R•••• A••••••• L••
        Apr 1, 2013 to Apr 15, 2013
      • Advisory employees · 10 to 4
        Mar 28, 2013 to Apr 1, 2013
      • BD registered reps · 13 to 9
        Mar 28, 2013 to Apr 1, 2013
      • Assets in custody · $219M to $80.4M
        Mar 28, 2013 to Apr 1, 2013
      • Employees · 14 to 9
        Mar 28, 2013 to Apr 1, 2013
      • Discretionary RAUM · $219M to $80.4M
        Mar 28, 2013 to Apr 1, 2013
      • RAUM · $219M to $80.4M
        Mar 28, 2013 to Apr 1, 2013
      • Advisory employees · unset to 10.0
        Feb 16, 2012 to Mar 28, 2013
      • BD registered reps · unset to 13.0
        Feb 16, 2012 to Mar 28, 2013
      • Employees · unset to 14.0
        Feb 16, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 16, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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