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•••• I••••••••• H•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 161503SEC 801-73942IAPD
Latest filing Mar 31, 2022
First filing on the tape Feb 14, 2012 · 19 filings
RAUM
$715M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$715M gross assets
History
19 filings and snapshots on the tape
RAUM$715M as of Mar 31, 2022
Apr 1, 2013$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Apr 1, 20130 then
Employees (5.A)4 as of Mar 31, 2022
Apr 1, 201311 then
Private funds1 as of Mar 31, 2022
Mar 31, 20143 then
RAUM -75% over the last fiscal year-29% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$179MderivedRAUM 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
-75%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$715M, 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
  • 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)
  • 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
  • Pooled investment vehicles$715M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$715M 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
      15 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•• A••••••••• H•••••• L•••no longer reportedPrivate Equity Fund$3.6B19Jul 8, 2014
      S•• C•• A••••••••• P•••••••• L•••Private Equity Fund$755M2Mar 30, 2018
      S•• G•• H•••••• L•Private Equity Fund$715M7Mar 29, 2019
      S•• P•••••• E••••• P••••••• L•••no longer reportedPrivate Equity Fund$397M1Mar 31, 2014
      S•• G•• H•••••••• L••no longer reportedPrivate Equity Fund$207M13Mar 31, 2014
      S•• M•• R••••••• C•• L•••Private Equity Fund$195M6Mar 29, 2017
      S•• C•• H•••••• L••Private Equity Fund$193M8Mar 29, 2019
      S•• M•• H•••••••• L••no longer reportedPrivate Equity Fund$128M2Mar 31, 2015
      S•• B••••••• B•• • A• F•••• L•••no longer reportedPrivate Equity Fund$120M2Mar 31, 2015
      S•• C•••••• P••••••• ••••••••• L••Private Equity Fund$55.8M4Mar 29, 2019
      S•• G•• A••••••••• P•••••••• L••no longer reportedPrivate Equity Fund$3.7M13Mar 30, 2018
      S•• I••••••••• P•••••••• L••no longer reportedPrivate Equity Fund$2.8M1Mar 30, 2018
      S•• S•••••••• A••••• A•• ••••• L••no longer reportedPrivate Equity Fund$2.0M1Mar 30, 2018
      S•• A••••• F•••• L••no longer reportedPrivate Equity Fund$990,0001Mar 29, 2017
      S•• C•••••• P••••••• I• ••••••••• L•no longer reportedPrivate Equity Fund$04Mar 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• T•••••• A••••• · Chief Compliance Officer And Chief Operating Officercontrol
        since 10/2021 · owns less than 5%
      • G••••••••• L•••••••• S•••• · Elected Managercontrol
        since 10/2012 · owns F of C• V• S•••• O•••••••• C••• L••
      • G••••••••• M••••••• R•••••• · Elected Managercontrol
        since 10/2012 · owns F of C• V• S•••• O•••••••• C••• L••
      • S••••• H•••••• I•• · Elected Managercontrol
        since 10/2012 · owns F of C• V• S•••• O•••••••• C••• L••
      Entity owners
      • C••• S•••• • C••• I••• · Sole Member
        direct · owns 75% or more
      • C• V• S•••• O•••••••• C••• L•• · Shareholder
        indirect · owns 75% or more of C. V. S•••• & Co., Inc.
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 4
        Oct 27, 2021 to Mar 31, 2022
      • Advisory employees · 8 to 1
        Oct 27, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 16 to 1
        Oct 27, 2021 to Mar 31, 2022
      • Assets in custody · $296M to $715M
        Oct 27, 2021 to Mar 31, 2022
      • Employees · 13 to 4
        Oct 27, 2021 to Mar 31, 2022
      • Other offices · 1 to 0
        Oct 27, 2021 to Mar 31, 2022
      • Private funds · 9 to 1
        Oct 27, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.8B to $715M
        Oct 27, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $6.0M to $0
        Oct 27, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $2.8B to $715M
        Oct 27, 2021 to Mar 31, 2022
      • RAUM · $2.8B to $715M
        Oct 27, 2021 to Mar 31, 2022
      • Accounts · 22 to 19
        Mar 30, 2020 to Mar 30, 2021
      • Advisory employees · 9 to 8
        Mar 30, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 19 to 16
        Mar 30, 2020 to Mar 30, 2021
      • Assets in custody · $297M to $296M
        Mar 30, 2020 to Mar 30, 2021
      • Employees · 14 to 13
        Mar 30, 2020 to Mar 30, 2021
      • Private funds · 12 to 9
        Mar 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $2.3B to $2.8B
        Mar 30, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $0 to $6.0M
        Mar 30, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $2.3B to $2.8B
        Mar 30, 2020 to Mar 30, 2021
      • RAUM · $2.3B to $2.8B
        Mar 30, 2020 to Mar 30, 2021
      • Accounts · 23 to 22
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 8 to 9
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 21 to 19
        Mar 29, 2019 to Mar 30, 2020
      • Assets in custody · $839M to $297M
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 13 to 14
        Mar 29, 2019 to Mar 30, 2020
      • Other offices · 0 to 1
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.6B to $2.3B
        Mar 29, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $461M to $0
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.0B to $2.3B
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $2.0B to $2.3B
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 30 to 23
        May 22, 2018 to Mar 29, 2019
      • Advisory employees · 11 to 8
        May 22, 2018 to Mar 29, 2019
      • Advisory activities · 3 to 2
        May 22, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 24 to 21
        May 22, 2018 to Mar 29, 2019
      • Assets in custody · $3.3B to $839M
        May 22, 2018 to Mar 29, 2019
      • Employees · 18 to 13
        May 22, 2018 to Mar 29, 2019
      • Private funds · 19 to 12
        May 22, 2018 to Mar 29, 2019
      • Discretionary RAUM · $1.1B to $1.6B
        May 22, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $2.1B to $461M
        May 22, 2018 to Mar 29, 2019
      Signals
      9 dated events
      • S•••• I••••••••• H•••••••• L•• reported RAUM $714.8M, down 75% from $2.8B (2021-10-27 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Gordon Geoffrey Clark (Senior Managing Director) no longer on Schedule A of S•••• I••••••••• H•••••••• L•• (listed 2021-05-26, absent 2021-10-27)
        Oct 27, 2021 · Control person left · inference
      • A•••••••• V••••••••• B•••• (Chief Financial Officer) no longer on Schedule A of S•••• I••••••••• H•••••••• L•• (listed 2021-05-26, absent 2021-10-27)
        Oct 27, 2021 · Control person left · inference
      • R••••• J••••• G••••• (General Counsel And Chief Compliance Officer) no longer on Schedule A of S•••• I••••••••• H•••••••• L•• (listed 2021-05-26, absent 2021-10-27)
        Oct 27, 2021 · Control person left · inference
      • A••••• T••••• B•••• (Chief Compliance Officer And Chief Operating Officer) appeared on Schedule A of S•••• I••••••••• H•••••••• L••
        Oct 27, 2021 · Control person joined · fact
      • A Hina Joshi (Chief Compliance Officer) no longer on Schedule A of S•••• I••••••••• H•••••••• L•• (listed 2021-03-30, absent 2021-05-26)
        May 26, 2021 · Control person left · inference
      • P Bertil Lundqvist (Elected Manager) no longer on Schedule A of S•••• I••••••••• H•••••••• L•• (listed 2020-03-30, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • S•••• I••••••••• H•••••••• L•• reported RAUM $2.0B, down 37% from $3.2B (2018-05-22 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • R••••• J••••• G••••• (General Counsel) appeared on Schedule A of S•••• I••••••••• H•••••••• L••
        Mar 29, 2019 · Control person joined · fact
      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