DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

A•••• C•••••• M••••••••• I•• L••

Former SEC-registered adviserNew York, New YorkCRD 162934SEC 801-76182IAPD
Latest filing Mar 5, 2014
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$686M
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
8
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$686M gross assets
History
6 filings and snapshots on the tape
RAUM$686M as of Mar 5, 2014
Mar 30, 2012$561M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 5, 2014
Nov 12, 20120 then
Employees (5.A)8 as of Mar 5, 2014
Nov 12, 20127 then
Private funds1 as of Mar 5, 2014
Mar 30, 20122 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 5, 2014; 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
$229MderivedRAUM 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
unknownderivedbetween 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
$686M, 3 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)
  • 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
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$686M for 3 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
      A•••• P••••••• M••••• F•••• L•••no longer reportedHedge Fund$22.3M5Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • R•••• D••••• S••• · Chief Investment Officercontrol
        since 12/2006 · owns 75% or more
      • B•••• I••• S•••• · Coo And Cco
        since 03/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • A•••• A••••••• I• L••
        investment adviserbankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Nov 12, 2012 to Mar 27, 2013
      • Assets in custody · $561M to $686M
        Nov 12, 2012 to Mar 27, 2013
      • Employees · 7 to 8
        Nov 12, 2012 to Mar 27, 2013
      • Private funds · 2 to 1
        Nov 12, 2012 to Mar 27, 2013
      • Discretionary RAUM · $561M to $686M
        Nov 12, 2012 to Mar 27, 2013
      • RAUM · $561M to $686M
        Nov 12, 2012 to Mar 27, 2013
      • Related bank · false to true
        Nov 12, 2012 to Mar 27, 2013
      • Advisory employees · unset to 4.0
        Apr 16, 2012 to Nov 12, 2012
      • BD registered reps · unset to 0.0
        Apr 16, 2012 to Nov 12, 2012
      • Employees · unset to 7.0
        Apr 16, 2012 to Nov 12, 2012
      • State-registered IARs · unset to 0.0
        Apr 16, 2012 to Nov 12, 2012
      • Related adviser · false to true
        Mar 30, 2012 to Apr 16, 2012
      Signals
      No event on the tape.
      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