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

C•••••••• C•••••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 162898SEC 801-76577IAPD
Latest filing Dec 22, 2020
First filing on the tape Apr 17, 2012 · 40 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$334M as of Mar 27, 2020
Mar 27, 2013$84.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 27, 20130 then
Employees (5.A)11 as of Mar 27, 2020
Mar 27, 20139 then
Private funds3 as of Mar 27, 2020
Mar 27, 20133 then
RAUM -100% over the last fiscal yearIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Dec 22, 2020; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
+22%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 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
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••••• C•••••• S••••••• M••••• F•••• L•••Hedge Fund$192M3Apr 17, 2012
      C•••••••• C•••••• S••••••• F••• O•••••• L•Hedge Fund$81.9M24Apr 17, 2012
      C•••••••• C•••••• S••••••• F••• O•••••••• L•••Hedge Fund$38.4M22Apr 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•• G•••••• R•••••• R••••• · Chief Compliance Officer - Chief Financial Officercontrol
        since 01/2016 · owns less than 5%
      • L•••••••• J••• · Head Of Business Developmentcontrol
        since 04/2019 · owns 10% to 25%
      • M••••••••• V••••••• N••••• · Presidentcontrol
        since 01/2012 · owns 10% to 25%
      • N•••• S•••••••• · Chief Executive Officer, Ownercontrol
        since 01/2012 · owns 50% to 75%
      • C•••••• M••••••• F•••••• · Member
        since 06/2015 · owns 10% to 25%
      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
      • Accounts · 7 to 0
        Jun 17, 2020 to Nov 18, 2020
      • Advisory employees · 4 to 0
        Jun 17, 2020 to Nov 18, 2020
      • Advisory activities · 3 to 1
        Jun 17, 2020 to Nov 18, 2020
      • BD registered reps · 1 to 0
        Jun 17, 2020 to Nov 18, 2020
      • Pooled vehicle clients · 3.0 to unset
        Jun 17, 2020 to Nov 18, 2020
      • Assets in custody · 65185613.0 to unset
        Jun 17, 2020 to Nov 18, 2020
      • Custody of client assets · true to false
        Jun 17, 2020 to Nov 18, 2020
      • Employees · 11 to 0
        Jun 17, 2020 to Nov 18, 2020
      • Private funds · 3 to unset
        Jun 17, 2020 to Nov 18, 2020
      • Discretionary RAUM · $334M to $0
        Jun 17, 2020 to Nov 18, 2020
      • Pooled vehicle RAUM · 192185185.0 to unset
        Jun 17, 2020 to Nov 18, 2020
      • RAUM · $334M to $0
        Jun 17, 2020 to Nov 18, 2020
      • Assets in custody · $76.0M to $65.2M
        Mar 25, 2019 to Mar 27, 2020
      • Other offices · 1 to 0
        Mar 25, 2019 to Mar 27, 2020
      • Discretionary RAUM · $273M to $334M
        Mar 25, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $191M to $192M
        Mar 25, 2019 to Mar 27, 2020
      • RAUM · $273M to $334M
        Mar 25, 2019 to Mar 27, 2020
      • Assets in custody · $93.5M to $76.0M
        Mar 27, 2018 to Mar 25, 2019
      • Discretionary RAUM · $386M to $273M
        Mar 27, 2018 to Mar 25, 2019
      • Pooled vehicle RAUM · $269M to $191M
        Mar 27, 2018 to Mar 25, 2019
      • RAUM · $386M to $273M
        Mar 27, 2018 to Mar 25, 2019
      • Assets in custody · $88.0M to $93.5M
        Nov 28, 2017 to Mar 27, 2018
      • Discretionary RAUM · $404M to $386M
        Nov 28, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · $295M to $269M
        Nov 28, 2017 to Mar 27, 2018
      • RAUM · $404M to $386M
        Nov 28, 2017 to Mar 27, 2018
      • Accounts · 5 to 7
        Sep 29, 2017 to Nov 14, 2017
      • Pooled vehicle clients · unset to 3.0
        Sep 29, 2017 to Nov 14, 2017
      • Other offices · unset to 1.0
        Sep 29, 2017 to Nov 14, 2017
      • Discretionary RAUM · $365M to $404M
        Sep 29, 2017 to Nov 14, 2017
      • Pooled vehicle RAUM · unset to 294612208.0
        Sep 29, 2017 to Nov 14, 2017
      • RAUM · $365M to $404M
        Sep 29, 2017 to Nov 14, 2017
      • Advisory activities · 2 to 3
        May 18, 2017 to Sep 29, 2017
      • Discretionary RAUM · $402M to $365M
        May 18, 2017 to Sep 29, 2017
      • RAUM · $402M to $365M
        May 18, 2017 to Sep 29, 2017
      • Accounts · 4 to 5
        Mar 16, 2016 to Feb 27, 2017
      • Assets in custody · $181M to $88.0M
        Mar 16, 2016 to Feb 27, 2017
      • Discretionary RAUM · $228M to $402M
        Mar 16, 2016 to Feb 27, 2017
      • RAUM · $228M to $402M
        Mar 16, 2016 to Feb 27, 2017
      • Advisory employees · 5 to 4
        Jan 6, 2016 to Mar 16, 2016
      • Assets in custody · $194M to $181M
        Jan 6, 2016 to Mar 16, 2016
      Signals
      2 dated events
      • C•••••••• C•••••• P••••••• L•• reported RAUM $0, down 100% from $334.2M (2020-06-17 to 2020-11-18)
        Nov 18, 2020 · RAUM change · derived
      • C•••••••• C•••••• P••••••• L•• reported RAUM $273.4M, down 29% from $385.7M (2018-03-27 to 2019-03-25)
        Mar 25, 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.
      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