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

I••••••• P••••••• G••••• L••

Former SEC-registered adviserNew York, New YorkCRD 162389SEC 801-74754IAPD
Latest filing Apr 19, 2017
First filing on the tape Mar 21, 2012 · 7 filings
RAUM
$14.8M
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
3
$28.0M gross assets
History
7 filings and snapshots on the tape
RAUM$14.8M as of Apr 19, 2017
Mar 28, 2013$43.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 19, 2017
Mar 28, 20130 then
Employees (5.A)4 as of Apr 19, 2017
Mar 28, 20134 then
Private funds3 as of Apr 19, 2017
Mar 28, 20133 then
RAUM -1.3% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 19, 2017; 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
$14.8MderivedRAUM 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
-1.3%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 individuals, 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
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
1reported
Financial planning clients
0reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••••••• S•••••• F•••••• F••• L•Private Equity Fund$13.0M3Mar 21, 2012
      I••••••• C••••••••• F•••••• M••••• F••• L•Hedge Fund$02Mar 21, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••••• J•••• C•••••• · Ceocontrol
        since 05/2005 · owns 50% to 75%
      • C•••••• V••••••• S•••••• · Coo/Cco
        since 04/2012 · owns 10% to 25%
      • M••••• J••••• J••••• · Interest Holder
        since 09/2012 · owns 10% to 25%
      • S••••••• W••••••• C••• · Interest Holder
        since 09/2012 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • I••••••• A•••••••• L••
        investment advisery
      • I••••••• C••••••••• F••••••• L••
        investment advisern
      • I••••••• G•• L••
        pooled vehicle sponsorn
      • I••••••• S•••••• F•••••• M••••••••• L••
        pooled vehicle sponsorn
      • I••••••• S•••••• F••••••• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 1
        Jul 18, 2016 to Apr 19, 2017
      • Discretionary RAUM · $15.0M to $14.8M
        Jul 18, 2016 to Apr 19, 2017
      • RAUM · $15.0M to $14.8M
        Jul 18, 2016 to Apr 19, 2017
      • Accounts · 3 to 10
        May 23, 2016 to Jul 18, 2016
      • Accounts · 1 to 3
        Jun 4, 2015 to May 23, 2016
      • Advisory activities · 1 to 2
        Jun 4, 2015 to May 23, 2016
      • Discretionary RAUM · $10.9M to $15.0M
        Jun 4, 2015 to May 23, 2016
      • RAUM · $10.9M to $15.0M
        Jun 4, 2015 to May 23, 2016
      • Accounts · 3 to 1
        May 12, 2014 to Jun 4, 2015
      • Advisory activities · 2 to 1
        May 12, 2014 to Jun 4, 2015
      • Financial planning clients · unset to 0
        May 12, 2014 to Jun 4, 2015
      • Discretionary RAUM · $33.4M to $10.9M
        May 12, 2014 to Jun 4, 2015
      • RAUM · $33.4M to $10.9M
        May 12, 2014 to Jun 4, 2015
      • Accounts · 2 to 3
        Mar 28, 2013 to May 12, 2014
      • Discretionary RAUM · $43.8M to $33.4M
        Mar 28, 2013 to May 12, 2014
      • RAUM · $43.8M to $33.4M
        Mar 28, 2013 to May 12, 2014
      • Accounts · 4 to 2
        Mar 21, 2012 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        Mar 21, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 21, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        Mar 21, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 21, 2012 to Mar 28, 2013
      • Discretionary RAUM · $46.0M to $43.8M
        Mar 21, 2012 to Mar 28, 2013
      • RAUM · $46.0M to $43.8M
        Mar 21, 2012 to Mar 28, 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