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
H••• Q••••••••• S••••••••• L••
Latest filing Mar 27, 2013
First filing on the tape Mar 22, 2012 · 3 filings
RAUM
$390M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$140M gross assets
History
3 filings and snapshots on the tape
RAUM$390M as of Mar 27, 2013
Mar 22, 2012$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2013
Dec 19, 20120 then
Employees (5.A)4 as of Mar 27, 2013
Dec 19, 20124 then
Private funds2 as of Mar 27, 2013
Mar 22, 20122 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 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
- $55.7MderivedRAUM 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
- $48.5M, 3 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)
- 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
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
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.5M for 3 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• C••••• H••• L••• | Hedge Fund | $91.9M | 3 | Mar 22, 2012 |
| C••••• H••• ••••••••• H••••••• L••• | Hedge Fund | $48.5M | 6 | Mar 22, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E•••••• J•••••• · President And Secretarycontrolsince 04/2011 · owns less than 5%
- E•••••• J•••••• · Managercontrolsince 10/2009 · owns 75% or more of J•• H••• L••
- K•••••• B••••• S•••••• · Sole Shareholdercontrolsince 02/1983 · owns 75% or more of C••••• C•••••••••
- M••••• A••• · Chief Compliance Officersince 04/2012 · owns less than 5%
Entity owners
- C••••• A••••••••• M••••••••• L• · Memberdirect · owns 25% to 50%
- J•• H••• L•• · Managing Memberdirect · owns 75% or more
- C••••• C••••••••• · General Partnerindirect · owns F of C••••• A••••••••• M••••••••• L•
Related persons
Schedule D 7.A
- C••••• Associates (USA) LLCinvestment adviserbankpooled vehicle sponsoryRAUM $4.6B
- C••••• C•••••••••bankpooled vehicle sponsory
- H••• Q••••••••• S••••••••• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $31.9M to $48.5MDec 19, 2012 to Mar 27, 2013
- Discretionary RAUM · $175M to $390MDec 19, 2012 to Mar 27, 2013
- RAUM · $175M to $390MDec 19, 2012 to Mar 27, 2013
- Related broker-dealer · true to falseDec 19, 2012 to Mar 27, 2013
- Advisory employees · unset to 3.0Mar 22, 2012 to Dec 19, 2012
- BD registered reps · unset to 0.0Mar 22, 2012 to Dec 19, 2012
- Employees · unset to 4.0Mar 22, 2012 to Dec 19, 2012
- State-registered IARs · unset to 0.0Mar 22, 2012 to Dec 19, 2012
- Related broker-dealer · false to trueMar 22, 2012 to Dec 19, 2012
Signals
No event on the tape.
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