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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SEC-registered adviser
G•••• P••••••• L••
Latest filing Apr 30, 2026
First filing on the tape Feb 16, 2012 · 17 filings
SEC status approved since Mar 29, 2012
RAUM
$317M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$317M as of Apr 30, 2026
Apr 1, 2013$325M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 30, 2026
Apr 1, 20130 then
Employees (5.A)7 as of Apr 30, 2026
Apr 1, 201311 then
Private funds7 as of Apr 30, 2026
Apr 1, 201311 then
RAUM +17% over the last fiscal year+4.6% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Apr 30, 2026; 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
- $45.4MderivedRAUM 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
- +17%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- 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)
- 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$317M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
30 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••• F••• I•• | Private Equity Fund | $133M | 51 | Mar 30, 2016 |
| G•••• F••• I• | Private Equity Fund | $59.8M | 37 | Apr 1, 2013 |
| G•••• C••••••••• V•••••• 1•no longer reported | Private Equity Fund | $26.8M | 20 | Mar 30, 2015 |
| G•••• F••• I• | Private Equity Fund | $18.0M | 31 | Feb 16, 2012 |
| G•••• C••••••••• V•••••• 8•no longer reported | Private Equity Fund | $14.8M | 2 | Feb 16, 2012 |
| G•••• C••••••••• V•••••• 2• | Private Equity Fund | $11.3M | 14 | Mar 30, 2017 |
| G•••• C••••••••• V•••••• 2• | Private Equity Fund | $10.2M | 22 | Mar 31, 2022 |
| G•••• C••••••••• V•••••• 7•no longer reported | Private Equity Fund | $10.0M | 12 | Feb 16, 2012 |
| G•••• C••••••••• V•••••• 2• | Private Equity Fund | $9.2M | 17 | Mar 29, 2018 |
| G•••• C••••••••• V•••••• 2• | Private Equity Fund | $4.4M | 26 | Mar 31, 2023 |
| G•••• C••••••••• V•••••• 1• | Private Equity Fund | $3.8M | 3 | Mar 30, 2017 |
| G•••• C••••••••• V•••••• 2•no longer reported | Private Equity Fund | $2.2M | 13 | Apr 1, 2020 |
| G•••• C••••••••• V•••••• 1• | Private Equity Fund | $1.4M | 19 | Mar 30, 2015 |
| G•••• C••••••••• V•••••• 2• | Private Equity Fund | $1.2M | 13 | Mar 31, 2021 |
| G•••• C••••••••• V•••••• 1• | Private Equity Fund | $522,573 | 9 | Mar 30, 2017 |
| G•••• C••••••••• V•••••• 3•no longer reported | Private Equity Fund | $520,327 | 13 | Feb 16, 2012 |
| G•••• C••••••••• V•••••• 6• | Private Equity Fund | $278,284 | 16 | Feb 16, 2012 |
| G•••• C••••••••• V•••••• 1•no longer reported | Private Equity Fund | $258,852 | 13 | Apr 1, 2013 |
| G•••• C••••••••• V•••••• 1• | Private Equity Fund | $201,489 | 2 | Mar 30, 2015 |
| G•••• C••••••••• V•••••• 1•no longer reported | Private Equity Fund | $159,591 | 7 | Feb 16, 2012 |
| G•••• C••••••••• V•••••• 5•no longer reported | Private Equity Fund | $97,524 | 12 | Feb 16, 2012 |
| G•••• C••••••••• V•••••• 2•no longer reported | Private Equity Fund | $87,251 | 16 | Feb 16, 2012 |
| G•••• C••••••••• V•••••• 1• | Private Equity Fund | $51,167 | 12 | Mar 30, 2017 |
| G•••• C••••••••• V•••••• 9•no longer reported | Private Equity Fund | $41,050 | 7 | Apr 1, 2013 |
| G•••• C••••••••• V•••••• 4•no longer reported | Private Equity Fund | $8,558 | 16 | Feb 16, 2012 |
| G•••• C••••••••• V•••••• 2• | Private Equity Fund | $5,471 | 2 | Mar 31, 2022 |
| G•••• C••••••••• V•••••• 1•no longer reported | Private Equity Fund | $0 | 14 | Mar 30, 2016 |
| G•••• C••••••••• V•••••• 2• | Private Equity Fund | $0 | 13 | Mar 31, 2022 |
| G•••• C••••••••• V•••••• 1•no longer reported | Private Equity Fund | $0 | 15 | Mar 30, 2016 |
| G•••• C••••••••• V•••••• 1•no longer reported | Private Equity Fund | $0 | 16 | Apr 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• D•••••• R•••••• · Membercontrolsince 01/2018 · owns 25% to 50%
- F•••••••• J••• · Membercontrolsince 01/2008 · owns 25% to 50%
- M•••••• K••••• F••••••• · Membercontrolsince 01/2018 · owns 25% to 50%
- O•••• D••••• J• · Managing Membercontrolsince 06/2006 · owns 25% to 50%
- S••••••••• P••••• G• · Chief Financial Officer/Chief Compliance Officersince 06/2007 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Florida, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 7Apr 29, 2025 to Mar 31, 2026
- Advisory employees · 6 to 5Apr 29, 2025 to Mar 31, 2026
- Pooled vehicle clients · 6 to 7Apr 29, 2025 to Mar 31, 2026
- Assets in custody · 257056400.0 to unsetApr 29, 2025 to Mar 31, 2026
- Custody of client assets · true to falseApr 29, 2025 to Mar 31, 2026
- Employees · 8 to 7Apr 29, 2025 to Mar 31, 2026
- Other offices · 1 to 0Apr 29, 2025 to Mar 31, 2026
- Private funds · 6 to 7Apr 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $271M to $317MApr 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $271M to $317MApr 29, 2025 to Mar 31, 2026
- RAUM · $271M to $317MApr 29, 2025 to Mar 31, 2026
- Accounts · 7 to 6Mar 29, 2024 to Apr 29, 2025
- Pooled vehicle clients · 7 to 6Mar 29, 2024 to Apr 29, 2025
- Assets in custody · $177M to $257MMar 29, 2024 to Apr 29, 2025
- Financial planning clients · unset to Mar 29, 2024 to Apr 29, 2025
- Private funds · 7 to 6Mar 29, 2024 to Apr 29, 2025
- Discretionary RAUM · $195M to $271MMar 29, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $195M to $271MMar 29, 2024 to Apr 29, 2025
- RAUM · $195M to $271MMar 29, 2024 to Apr 29, 2025
- Accounts · 16 to 7Aug 7, 2023 to Mar 29, 2024
- Pooled vehicle clients · 16 to 7Aug 7, 2023 to Mar 29, 2024
- Assets in custody · $259M to $177MAug 7, 2023 to Mar 29, 2024
- Employees · 10 to 8Aug 7, 2023 to Mar 29, 2024
- Private funds · 16 to 7Aug 7, 2023 to Mar 29, 2024
- Discretionary RAUM · $278M to $195MAug 7, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $278M to $195MAug 7, 2023 to Mar 29, 2024
- RAUM · $278M to $195MAug 7, 2023 to Mar 29, 2024
- Advisory employees · 7 to 6Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $451M to $259MMar 31, 2022 to Mar 31, 2023
- Employees · 11 to 10Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $486M to $278MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $486M to $278MMar 31, 2022 to Mar 31, 2023
- RAUM · $486M to $278MMar 31, 2022 to Mar 31, 2023
- Accounts · 17 to 16Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 17 to 16Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $270M to $451MMar 31, 2021 to Mar 31, 2022
- Private funds · 17 to 16Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $330M to $486MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $330M to $486MMar 31, 2021 to Mar 31, 2022
- RAUM · $330M to $486MMar 31, 2021 to Mar 31, 2022
Signals
4 dated events
- G•••• P••••••• L•• reported RAUM $277.7M, down 43% from $485.6M (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- G•••• P••••••• L•• reported RAUM $485.6M, up 47% from $330.1M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- G•••• P••••••• L•• reported RAUM $330.1M, down 35% from $510.9M (2020-04-01 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- G•••• P••••••• L•• reported RAUM $510.9M, down 29% from $724.7M (2019-03-29 to 2020-04-01)Apr 1, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- G•••• P••••••• L•• · Independent Sponsorsshared crd · capital_provider
- G•••• P••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-722-9406reportedpublic record, Form ADV, Apr 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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