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Former SEC-registered adviser

D•••• F••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 161499SEC 801-74142IAPD
Latest filing Mar 30, 2020
First filing on the tape Feb 14, 2012 · 13 filings
RAUM
$91.6M
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
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$91.6M gross assets
History
13 filings and snapshots on the tape
RAUM$91.6M as of Mar 30, 2020
Mar 28, 2013$316M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20130 then
Employees (5.A)3 as of Mar 30, 2020
Mar 28, 20134 then
Private funds3 as of Mar 30, 2020
Mar 28, 20132 then
RAUM -55% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$91.6MderivedRAUM 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
-55%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)
  • 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$91.6M100%
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
$0 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
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• M•••••• F••• L••• • T•• M••••••• S•••••Hedge Fund$19.9M8Feb 14, 2012
      T•• M•••••• F••• L••• • T•• J•••••• S•••••Hedge Fund$14.5M6Mar 30, 2020
      T•• M•••••• F••• L••• • T•• D•••••• S•••••Hedge Fund$10.9M6Feb 14, 2012
      T•• M•••••• F••• L•• • T•• G••••• B••• S•••••no longer reportedHedge Fund$7.3M6Mar 29, 2018
      T•• M•••••• F••• L••• • T•• O•••• S•••••no longer reportedHedge Fund$1.2M3Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• D••••••• A• · Coo/Ccocontrol
        since 06/2006 · owns less than 5%
      • D••••• S•••• M•••••• · Managing Member & Owner (Dfm LLC & Dfs Ltd.)control
        since 12/1993 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Grand Cayman, Cayman Islands1 employees
      What changed
      consecutive filings, newest first
      • Private funds · 2 to 3
        Jul 2, 2019 to Mar 30, 2020
      • Discretionary RAUM · $203M to $91.6M
        Jul 2, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $203M to $91.6M
        Jul 2, 2019 to Mar 30, 2020
      • RAUM · $203M to $91.6M
        Jul 2, 2019 to Mar 30, 2020
      • Employees · 4 to 3
        Mar 29, 2019 to Jul 2, 2019
      • Private funds · 3 to 2
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $242M to $203M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $242M to $203M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $242M to $203M
        Mar 29, 2018 to Mar 29, 2019
      • Advisory activities · 2 to 1
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 28, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 28, 2017 to Mar 29, 2018
      • Private funds · 2 to 3
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $300M to $242M
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 241620000.0
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $300M to $242M
        Mar 28, 2017 to Mar 29, 2018
      • Related adviser · true to false
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $294M to $300M
        Mar 29, 2016 to Mar 28, 2017
      • RAUM · $294M to $300M
        Mar 29, 2016 to Mar 28, 2017
      • Discretionary RAUM · $283M to $294M
        Dec 8, 2015 to Mar 29, 2016
      • RAUM · $283M to $294M
        Dec 8, 2015 to Mar 29, 2016
      • Discretionary RAUM · $285M to $283M
        May 1, 2014 to Mar 27, 2015
      • RAUM · $285M to $283M
        May 1, 2014 to Mar 27, 2015
      • Discretionary RAUM · $282M to $285M
        Mar 31, 2014 to May 1, 2014
      • RAUM · $282M to $285M
        Mar 31, 2014 to May 1, 2014
      • Discretionary RAUM · $316M to $282M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $316M to $282M
        Mar 28, 2013 to Mar 31, 2014
      • Advisory employees · unset to 3.0
        Feb 17, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 17, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        Feb 17, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 17, 2012 to Mar 28, 2013
      • Private funds · 3 to 2
        Feb 17, 2012 to Mar 28, 2013
      • Discretionary RAUM · $270M to $316M
        Feb 17, 2012 to Mar 28, 2013
      • RAUM · $270M to $316M
        Feb 17, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • D•••• F••• M••••••••• L•• reported RAUM $91.6M, down 55% from $203.3M (2019-07-02 to 2020-03-30)
        Mar 30, 2020 · 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