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•••••• A••••••• C•••••• G••••• L••

Former SEC-registered adviserNew York, New YorkCRD 161717SEC 801-74221IAPD
Latest filing Jul 2, 2015
First filing on the tape Feb 15, 2012 · 8 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
89%
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
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
14
$1.5B gross assets
History
8 filings and snapshots on the tape
RAUM$1.7B as of Mar 24, 2015
Mar 28, 2013$269M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2015
Mar 28, 20130 then
Employees (5.A)12 as of Mar 24, 2015
Mar 28, 201311 then
Private funds14 as of Mar 24, 2015
Mar 28, 201311 then
RAUM +136% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 2, 2015; 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
$114MderivedRAUM over accounts (5.F.2.f)
Discretionary
89%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
+136%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
$1.5B, 14 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)
  • 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
15reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$1.5B for 14 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
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E• P•••••• I••••••••• A•• L••Venture Capital Fund$404M90Feb 15, 2012
      E• P•••••• I••••••••• A•• L•Private Equity Fund$323M167Mar 24, 2015
      E•••••• I•••••••• L•Venture Capital Fund$207M4Feb 15, 2012
      E• P•••••• I••••••••• A•• L••Venture Capital Fund$93.3M30Mar 28, 2013
      E• P•••••• I••••••••• L••no longer reportedVenture Capital Fund$72.3M99Feb 15, 2012
      E• P•••••• I••••••••• ••• L••Venture Capital Fund$41.3M2Feb 15, 2012
      E•••••• A•••••• F•••• L•no longer reportedHedge Fund$19.5M16Feb 15, 2012
      E•••••• A••••••• C••••••• L••no longer reportedHedge Fund$19.5M1Feb 15, 2012
      E•••••• A•••••• O••••••• F•••• L•••no longer reportedHedge Fund$13.9M27Feb 15, 2012
      L••• E••• V••••••• I• L•Venture Capital Fund$2.9M18Mar 26, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• S•••• · Managercontrol
        since 02/2003 · owns less than 5%
      • E•••• G••••• S•••••• · Managing Member/Cco/Coocontrol
        since 12/2007 · owns 10% to 25%
      • P•••• C••••••••• · Cfocontrol
        since 12/2010 · owns less than 5%
      • B••••• S•••• · Managing Membercontrol
        since 11/2011 · owns 75% or more of S• B•••• I••••••••• I• L••
      • B••••• C••••••• O••••• · Managing Member
        since 11/2011 · owns F of S• B•••• I••••••••• I• L••
      Entity owners
      • S• B•••• I••••••••• I• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • E• P•••••• F••• G•• L•
        pooled vehicle sponsory
      • E••• •• A•••••••• L••
        pooled vehicle sponsory
      • E••• A• A•••••••• L••
        pooled vehicle sponsory
      • E••• A• A•••••••• L••
        pooled vehicle sponsory
      • E••• A• A•••••••• L••
        pooled vehicle sponsory
      • E••• I• A•••••••• L••
        pooled vehicle sponsory
      • E•••••• I••••••• A•••••••• L••
        pooled vehicle sponsory
      • E••• A•••••••• L••
        investment advisery
      • L••••••••• C•••••• P••••••• I• L••
        pooled vehicle sponsory
      • L••• E••• C•••••• M••••••••• L••
        investment advisery
      • L••• E••• C•••••• P••••••• I• L••
        pooled vehicle sponsory
      • L••• E••• C•••••• P•••••••• L••
        pooled vehicle sponsory
      • L••• E••• V•••••• P•••••••• L••
        pooled vehicle sponsory
      • L••• I• A•••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 15
        Apr 1, 2014 to Mar 24, 2015
      • Assets in custody · $643M to $1.5B
        Apr 1, 2014 to Mar 24, 2015
      • Private funds · 12 to 14
        Apr 1, 2014 to Mar 24, 2015
      • Discretionary RAUM · $643M to $1.5B
        Apr 1, 2014 to Mar 24, 2015
      • Non-discretionary RAUM · $81.8M to $191M
        Apr 1, 2014 to Mar 24, 2015
      • RAUM · $725M to $1.7B
        Apr 1, 2014 to Mar 24, 2015
      • Accounts · 29 to 13
        Mar 28, 2013 to Mar 26, 2014
      • Advisory activities · 2 to 1
        Mar 28, 2013 to Mar 26, 2014
      • Assets in custody · $96.1M to $643M
        Mar 28, 2013 to Mar 26, 2014
      • Employees · 11 to 12
        Mar 28, 2013 to Mar 26, 2014
      • Private funds · 11 to 12
        Mar 28, 2013 to Mar 26, 2014
      • Discretionary RAUM · $238M to $643M
        Mar 28, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $30.6M to $81.8M
        Mar 28, 2013 to Mar 26, 2014
      • RAUM · $269M to $725M
        Mar 28, 2013 to Mar 26, 2014
      • Accounts · 18 to 29
        Jun 11, 2012 to Mar 28, 2013
      • Advisory employees · unset to 8.0
        Jun 11, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Jun 11, 2012 to Mar 28, 2013
      • Assets in custody · $131M to $96.1M
        Jun 11, 2012 to Mar 28, 2013
      • Employees · unset to 11.0
        Jun 11, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Jun 11, 2012 to Mar 28, 2013
      • Discretionary RAUM · $296M to $238M
        Jun 11, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $0 to $30.6M
        Jun 11, 2012 to Mar 28, 2013
      • RAUM · $296M to $269M
        Jun 11, 2012 to Mar 28, 2013
      • Accounts · 13 to 18
        Feb 15, 2012 to Jun 11, 2012
      • Assets in custody · $102M to $131M
        Feb 15, 2012 to Jun 11, 2012
      • Private funds · 10 to 11
        Feb 15, 2012 to Jun 11, 2012
      • Discretionary RAUM · $245M to $296M
        Feb 15, 2012 to Jun 11, 2012
      • RAUM · $245M to $296M
        Feb 15, 2012 to Jun 11, 2012
      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