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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A••••• B••• C••••••• L•

Former SEC-registered adviserChicago, IllinoisCRD 161448SEC 801-77164IAPD
Latest filing Mar 26, 2020
First filing on the tape Sep 12, 2012 · 14 filings
RAUM
$901M
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
12
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$665M gross assets
History
14 filings and snapshots on the tape
RAUM$901M as of Mar 26, 2020
Mar 26, 2013$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2020
Mar 26, 20130 then
Employees (5.A)12 as of Mar 26, 2020
Mar 26, 20137 then
Private funds2 as of Mar 26, 2020
Mar 26, 20131 then
RAUM -69% over the last fiscal year-44% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 26, 2020; 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
$113MderivedRAUM 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
-69%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
  • 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)
  • 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$901M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• B••• M••••• F•••• L•Hedge Fund$605M80Sep 12, 2012
      A••••• B••• O••• L•••Hedge Fund$152M2Mar 31, 2015
      A••••• B••• L••• M••••• F•••• L•Hedge Fund$60.0M10Mar 31, 2015
      A••••• B••• M••••• N•• M••• D••••••••• F•••• L•Hedge Fund$57.0M17Nov 28, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• R•••••• L•••• · Chief Executive Officer And Chief Investment Officercontrol
        since 11/2011 · owns less than 5%
      • S•••••••• S•••• J•••• · Chief Financial Officer & Chief Compliance Officercontrol
        since 11/2011 · owns less than 5%
      • P••••• R•••••• L•••• · Managing Membercontrol
        since 11/2011 · owns 75% or more of A••••• B••• C••••••• L••
      Entity owners
      • A••••• B••• C••••••• L•• · General Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••• B••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 8
        Mar 29, 2019 to Mar 26, 2020
      • Advisory employees · 13 to 9
        Mar 29, 2019 to Mar 26, 2020
      • Pooled vehicle clients · 6 to 4
        Mar 29, 2019 to Mar 26, 2020
      • Employees · 19 to 12
        Mar 29, 2019 to Mar 26, 2020
      • Other offices · 1 to 0
        Mar 29, 2019 to Mar 26, 2020
      • Private funds · 4 to 2
        Mar 29, 2019 to Mar 26, 2020
      • Discretionary RAUM · $2.9B to $901M
        Mar 29, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $2.9B to $901M
        Mar 29, 2019 to Mar 26, 2020
      • RAUM · $2.9B to $901M
        Mar 29, 2019 to Mar 26, 2020
      • Related adviser · true to false
        Mar 29, 2019 to Mar 26, 2020
      • Accounts · 10 to 12
        Mar 28, 2018 to Mar 29, 2019
      • Advisory employees · 12 to 13
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 5 to 6
        Mar 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $5.2B to $2.9B
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $5.2B to $2.9B
        Mar 28, 2018 to Mar 29, 2019
      • RAUM · $5.2B to $2.9B
        Mar 28, 2018 to Mar 29, 2019
      • Accounts · 11 to 10
        Nov 28, 2017 to Mar 28, 2018
      • Advisory activities · 3 to 1
        Nov 28, 2017 to Mar 28, 2018
      • Assets in custody · unset to 0.0
        Nov 28, 2017 to Mar 28, 2018
      • Custody of client assets · false to true
        Nov 28, 2017 to Mar 28, 2018
      • Discretionary RAUM · $5.0B to $5.2B
        Nov 28, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · $5.0B to $5.2B
        Nov 28, 2017 to Mar 28, 2018
      • RAUM · $5.0B to $5.2B
        Nov 28, 2017 to Mar 28, 2018
      • Related bank · false to true
        Nov 28, 2017 to Mar 28, 2018
      • Accounts · 9 to 11
        Mar 29, 2017 to Nov 28, 2017
      • Charity clients · unset to 0.0
        Mar 29, 2017 to Nov 28, 2017
      • Corporate clients · unset to 0.0
        Mar 29, 2017 to Nov 28, 2017
      • HNW clients · unset to 0.0
        Mar 29, 2017 to Nov 28, 2017
      • Individual clients · unset to 0.0
        Mar 29, 2017 to Nov 28, 2017
      • Pension plan clients · unset to 0.0
        Mar 29, 2017 to Nov 28, 2017
      • Pooled vehicle clients · unset to 5.0
        Mar 29, 2017 to Nov 28, 2017
      • Employees · 17 to 19
        Mar 29, 2017 to Nov 28, 2017
      • Other offices · unset to 1.0
        Mar 29, 2017 to Nov 28, 2017
      • Private funds · 3 to 4
        Mar 29, 2017 to Nov 28, 2017
      • Discretionary RAUM · $5.3B to $5.0B
        Mar 29, 2017 to Nov 28, 2017
      • Pooled vehicle RAUM · unset to 4970329317.0
        Mar 29, 2017 to Nov 28, 2017
      • RAUM · $5.3B to $5.0B
        Mar 29, 2017 to Nov 28, 2017
      • Related adviser · false to true
        Mar 29, 2017 to Nov 28, 2017
      • Advisory employees · 9 to 12
        Apr 11, 2016 to Mar 29, 2017
      • Employees · 14 to 17
        Apr 11, 2016 to Mar 29, 2017
      Signals
      3 dated events
      • A••••• B••• C••••••• L• reported RAUM $900.6M, down 69% from $2.9B (2019-03-29 to 2020-03-26)
        Mar 26, 2020 · RAUM change · derived
      • A••••• B••• C••••••• L• reported RAUM $2.9B, down 44% from $5.2B (2018-03-28 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • A••••• B••• C••••••• L• filed its initial SEC registration (Form ADV)
        Sep 12, 2012 · First SEC registration · fact
      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