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

R•••••• C•••••• M••••••••• L•••••

Former SEC-registered adviserWheaton, IllinoisCRD 162048SEC 801-76085IAPD
Latest filing Mar 31, 2015
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$218M
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
20
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
21
$902M gross assets
History
4 filings and snapshots on the tape
RAUM$218M as of Mar 31, 2015
Apr 1, 2013$435M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)20 as of Mar 31, 2015
Apr 1, 201325 then
Private funds21 as of Mar 31, 2015
Apr 1, 201325 then
RAUM -19% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$27.3MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-19%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
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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 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)
  • controlled by a public reporting company (10.A)
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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      17 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••••• M••••••••• G•••••• L•••Hedge Fund$99.4M89Mar 30, 2012
      R•••••• M••••••••• G••••• T••••••• L•••Hedge Fund$97.7M2Mar 30, 2012
      R•••••• T••••••• I••••••••• L•••Hedge Fund$63.3M2Mar 30, 2012
      R•••••• M••••••••• G•••••• L•••••Hedge Fund$38.1M99Mar 30, 2012
      R•••••• S••••••••• I••••••••• L•••Hedge Fund$18.0M6Mar 30, 2012
      R•• S•••••• O••••••••• F••• I• L•••Hedge Fund$15.7M1Mar 31, 2015
      R•• I••••••••• F•••• L•••••Hedge Fund$15.3M1Mar 30, 2012
      R•••••• C•••••• S•••••••• A•••••••• T••••••• L•••Hedge Fund$12.5M2Mar 30, 2012
      R•••• H••••••• I•• L•••Hedge Fund$7.4M2Mar 30, 2012
      R•••••• G••••• R••••••• V•••• T••••••• L•••Hedge Fund$5.8M2Mar 30, 2012
      R•••••• A•••• M••••••••• T••••••• L•••Hedge Fund$2.1M3Mar 30, 2012
      R•••••• E••••• •••••••• L•••Hedge Fund$1.7M2Mar 30, 2012
      R•••••• E•••••• L•••Hedge Fund$1.3M55Mar 30, 2012
      R•••••• R••••••••• S••••••••• L•••Hedge Fund$1.1M2Mar 30, 2012
      R•••••• E•••••• L•••••Hedge Fund$38516Mar 30, 2012
      R•••••• R••••••••• S••••••••• L•••••Hedge Fund$974Mar 30, 2012
      R•••• C•••••••• F••• I• L•••Private Equity Fund$02Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• C••••••••• F•••••• · Manager And Chief Operating Officer / Chief Executive Officer, Chief Financial Officer
        since 09/2012 · owns less than 5%
      • H••••• W••••••• B• · General Counsel / Chief Legal Officer, Chief Compliance Officer
        since 06/2006 · owns less than 5%
      Entity owners
      • R•• C••••• I••••••••• L••• · Direct Owner
        direct · owns 75% or more
      • R••••••••• B••• A••• · Shareholder
        indirect · owns 75% or more of R••••••••• T•••• G••••••• L••••••
      • R••••••••• T•••• G••••••• L•••••• · Ultimate Trustee
        indirect · owns 75% or more of T•• J• M•••••• T••••
      • T•• J• M•••••• T•••• · Indirect Owner
        indirect · owns 75% or more of R•• C••••• I••••••••• L•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 5
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $271M to $218M
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 25 to 20
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 25 to 21
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $271M to $218M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $271M to $218M
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 5 to 6
        Apr 1, 2013 to Mar 31, 2014
      • Assets in custody · $435M to $271M
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $435M to $271M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $435M to $271M
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · unset to 5.0
        Mar 30, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Mar 30, 2012 to Apr 1, 2013
      • Assets in custody · $478M to $435M
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 25.0
        Mar 30, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $478M to $435M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $478M to $435M
        Mar 30, 2012 to Apr 1, 2013
      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
      Across the graphs

      R•••••• C•••••• M••••••••• L••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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