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

B••••••••• P•••••••• L••

Former SEC-registered adviserBloomfield Hills, MichiganCRD 162532SEC 801-74785IAPD
Latest filing Mar 30, 2015
First filing on the tape Mar 22, 2012 · 7 filings
RAUM
$228M
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$181M gross assets
History
7 filings and snapshots on the tape
RAUM$228M as of Mar 30, 2015
Mar 28, 2013$181M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 28, 20130 then
Employees (5.A)6 as of Mar 30, 2015
Mar 28, 20139 then
Private funds1 as of Mar 30, 2015
Mar 28, 20131 then
RAUM +14% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$228MderivedRAUM 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
+14%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 businesses and institutionsreportedItem 5.G
Custody
$228M, 1 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
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
n/areported
Wrap fee programs
noreported
Custody of client assets
$228M for 1 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••••••• P••••••• F•••• L•••Private Equity Fund$104M19Apr 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• M••••••• D••••• · Managing Partnercontrol
        since 03/2007 · owns 25% to 50%
      • K•••••••• G••••••• P••• · Partner
        since 03/2007 · owns 10% to 25%
      • M•••••••• E•••••• M••••• · Chief Compliance Officer
        since 01/2012 · owns less than 5%
      • R••••• J••••• D••••• · Partner
        since 03/2007 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • B••••••••• P••••••• G•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Assets in custody · $122M to $228M
        Mar 31, 2014 to Mar 30, 2015
      • Employees · 5 to 6
        Mar 31, 2014 to Mar 30, 2015
      • Discretionary RAUM · $200M to $228M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $200M to $228M
        Mar 31, 2014 to Mar 30, 2015
      • RAUM · $181M to $200M
        Oct 29, 2013 to Mar 31, 2014
      • Advisory employees · 9 to 4
        Oct 29, 2013 to Mar 31, 2014
      • Assets in custody · $169M to $122M
        Oct 29, 2013 to Mar 31, 2014
      • Employees · 9 to 5
        Oct 29, 2013 to Mar 31, 2014
      • Discretionary RAUM · $181M to $200M
        Oct 29, 2013 to Mar 31, 2014
      • Assets in custody · $74.9M to $169M
        Jan 8, 2013 to Mar 28, 2013
      • Discretionary RAUM · $173M to $181M
        Jan 8, 2013 to Mar 28, 2013
      • RAUM · $173M to $181M
        Jan 8, 2013 to Mar 28, 2013
      • Advisory employees · unset to 9.0
        Apr 23, 2012 to Jan 8, 2013
      • BD registered reps · unset to 1.0
        Apr 23, 2012 to Jan 8, 2013
      • Employees · unset to 9.0
        Apr 23, 2012 to Jan 8, 2013
      • State-registered IARs · unset to 0.0
        Apr 23, 2012 to Jan 8, 2013
      • Private funds · unset to 1
        Mar 22, 2012 to Apr 23, 2012
      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