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
T••• O••• P•••••••
Legal name O••••• C•••••• M••••••••• I•• L•••
Latest filing Mar 31, 2026
First filing on the tape Mar 14, 2012 · 31 filings
SEC status approved since Mar 30, 2012
RAUM
$1.2B
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2026
Mar 28, 2013$281M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 26, 2024$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)3 as of Mar 31, 2026
Mar 28, 20133 then
Private funds2 as of Mar 31, 2026
Mar 28, 20132 then
RAUM +56% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $617MderivedRAUM 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
- +56%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
- $1.2B, 2 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 2 clientsreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••• O••• Q•• L••• | Hedge Fund | $400M | 40 | Mar 14, 2012 |
| T••• O•••• L••• | Hedge Fund | $367M | 31 | Mar 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• R•••••• F•••••• · Principal And Owner/Limited Partnercontrolsince 02/2010 · owns 50% to 75%
- M•••••••• T••••••• E••••• · Principal And Owner/Limited Partnercontrolsince 02/2010 · owns 50% to 75%
- A•••••••• D•••••• M•••• · Chief Compliance Officersince 08/2021 · owns less than 5%
Entity owners
- O••••• C•••••• M••••••••• I• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $793M to $1.2BMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $793M to $1.2BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $793M to $1.2BMar 28, 2025 to Mar 31, 2026
- RAUM · $793M to $1.2BMar 28, 2025 to Mar 31, 2026
- Assets in custody · $767M to $793MMar 26, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $767M to $793MMar 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $767M to $793MMar 26, 2024 to Mar 28, 2025
- RAUM · $767M to $793MMar 26, 2024 to Mar 28, 2025
- Charity clients · unset to 0.0Mar 31, 2023 to Mar 26, 2024
- Corporate clients · unset to 0.0Mar 31, 2023 to Mar 26, 2024
- HNW clients · unset to 0.0Mar 31, 2023 to Mar 26, 2024
- Individual clients · unset to 0.0Mar 31, 2023 to Mar 26, 2024
- Pension plan clients · unset to 0.0Mar 31, 2023 to Mar 26, 2024
- Assets in custody · $574M to $767MMar 31, 2023 to Mar 26, 2024
- Employees · 2 to 3Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $574M to $767MMar 31, 2023 to Mar 26, 2024
- HNW RAUM · unset to 0.0Mar 31, 2023 to Mar 26, 2024
- Individual RAUM · unset to 0.0Mar 31, 2023 to Mar 26, 2024
- Pension RAUM · unset to 0.0Mar 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $574M to $767MMar 31, 2023 to Mar 26, 2024
- RAUM · $574M to $767MMar 31, 2023 to Mar 26, 2024
- Assets in custody · $825M to $574MAug 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $825M to $574MAug 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $825M to $574MAug 30, 2022 to Mar 31, 2023
- RAUM · $825M to $574MAug 30, 2022 to Mar 31, 2023
- Assets in custody · $582M to $825MDec 8, 2021 to Mar 31, 2022
- Discretionary RAUM · $582M to $825MDec 8, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $582M to $825MDec 8, 2021 to Mar 31, 2022
- RAUM · $582M to $825MDec 8, 2021 to Mar 31, 2022
- Assets in custody · $420M to $582MFeb 15, 2021 to Mar 30, 2021
- Discretionary RAUM · $420M to $582MFeb 15, 2021 to Mar 30, 2021
- Pooled vehicle RAUM · $420M to $582MFeb 15, 2021 to Mar 30, 2021
- RAUM · $420M to $582MFeb 15, 2021 to Mar 30, 2021
- Assets in custody · $565M to $420MDec 23, 2019 to Mar 31, 2020
- Discretionary RAUM · $394M to $420MDec 23, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $394M to $420MDec 23, 2019 to Mar 31, 2020
- RAUM · $394M to $420MDec 23, 2019 to Mar 31, 2020
- Discretionary RAUM · $565M to $394MOct 16, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $565M to $394MOct 16, 2018 to Mar 29, 2019
Signals
6 dated events
- T••• O••• P••••••• reported RAUM $1.2B, up 56% from $792.7M (2025-03-28 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- T••• O••• P••••••• reported RAUM $766.9M, up 34% from $573.6M (2023-03-31 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- T••• O••• P••••••• reported RAUM $573.6M, down 30% from $824.8M (2022-08-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- T••• O••• P••••••• reported RAUM $824.8M, up 42% from $582.1M (2021-12-08 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- T••• O••• P••••••• reported RAUM $582.1M, up 39% from $419.5M (2021-02-15 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- T••• O••• P••••••• reported RAUM $393.8M, down 30% from $564.6M (2018-10-16 to 2019-03-29)Mar 29, 2019 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 973-635-3854reportedpublic record, Form ADV, Mar 31, 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