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.

SEC-registered adviser

S••••••••• C•••••• M••••••••• L•

Asset manager (funds and pooled vehicles)CRD 163080SEC 801-79947IAPD
Latest filing Mar 30, 2026
First filing on the tape Jun 13, 2014 · 17 filings
SEC status approved since Jun 25, 2014
RAUM
$197M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$197M as of Mar 30, 2026
Mar 26, 2015$166M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20150 then
Employees (5.A)2 as of Mar 30, 2026
Mar 26, 20151 then
Private funds1 as of Mar 30, 2026
Mar 26, 20151 then
RAUM +17% over the last fiscal year-1.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
$197MderivedRAUM 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
+17%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
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$197M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      S••••••••• C•••••• •••••••• L•Hedge Fund$205M34Mar 27, 2012
      S••••••••• C•••••• •••••• L•••Hedge Fund$192M28Mar 28, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• B••••• S•••• · Limited Partner, Managing Member Of The General Partner, Chief Compliance Officercontrol
        since 10/2003 · owns 75% or more
      • G•••••• B••••• S•••• · Managing Membercontrol
        since 10/2003 · owns 50% to 75% of S••••••••• C•••••• M••••••••• G•••• L••
      • G••••••••• R•••••• L••••••• · Membercontrol
        since 10/2003 · owns 25% to 50% of G••••• A•••••••• L••
      • G••••••••• J•••• M•••••• · Managing Membercontrol
        since 10/2003 · owns 25% to 50% of G••••• A•••••••• L••
      • G•••••• L•••• · Member
        since 10/2003 · owns 50% to 75% of S••••••••• C•••••• M••••••••• G•••• L••
      Entity owners
      • S••••••••• C•••••• M••••••••• G•••• L•• · General Partner
        direct · owns less than 5%
      • G••••• A•••••••• L•• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • C•••• I••••••••• M••••••••• I• G•• L••
        y
      • C•••• I••••••••• M••••••••• L•••
        investment advisery
      • C•••• P••••••• G•• L••
        pooled vehicle sponsory
      • S••••••••• A•••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $168M to $197M
        Mar 24, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $168M to $197M
        Mar 24, 2025 to Mar 30, 2026
      • RAUM · $168M to $197M
        Mar 24, 2025 to Mar 30, 2026
      • Financial planning clients · unset to
        Mar 28, 2024 to Mar 24, 2025
      • HQ city · unset to
        Mar 28, 2024 to Mar 24, 2025
      • HQ state · unset to
        Mar 28, 2024 to Mar 24, 2025
      • Discretionary RAUM · $192M to $168M
        Mar 28, 2024 to Mar 24, 2025
      • Pooled vehicle RAUM · $192M to $168M
        Mar 28, 2024 to Mar 24, 2025
      • RAUM · $192M to $168M
        Mar 28, 2024 to Mar 24, 2025
      • Discretionary RAUM · $205M to $192M
        Mar 23, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $205M to $192M
        Mar 23, 2023 to Mar 28, 2024
      • RAUM · $205M to $192M
        Mar 23, 2023 to Mar 28, 2024
      • Discretionary RAUM · $211M to $205M
        Nov 15, 2022 to Mar 23, 2023
      • Pooled vehicle RAUM · $211M to $205M
        Nov 15, 2022 to Mar 23, 2023
      • RAUM · $211M to $205M
        Nov 15, 2022 to Mar 23, 2023
      • Discretionary RAUM · $201M to $211M
        Mar 29, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $201M to $211M
        Mar 29, 2021 to Mar 28, 2022
      • RAUM · $201M to $211M
        Mar 29, 2021 to Mar 28, 2022
      • Discretionary RAUM · $340M to $201M
        Mar 26, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $340M to $201M
        Mar 26, 2020 to Mar 29, 2021
      • RAUM · $340M to $201M
        Mar 26, 2020 to Mar 29, 2021
      • Other offices · 1 to 0
        Mar 29, 2019 to Mar 26, 2020
      • Discretionary RAUM · $376M to $340M
        Mar 29, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $376M to $340M
        Mar 29, 2019 to Mar 26, 2020
      • RAUM · $376M to $340M
        Mar 29, 2019 to Mar 26, 2020
      • Discretionary RAUM · $528M to $376M
        Oct 22, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $528M to $376M
        Oct 22, 2018 to Mar 29, 2019
      • RAUM · $528M to $376M
        Oct 22, 2018 to Mar 29, 2019
      • Related adviser · false to true
        Mar 22, 2018 to Oct 22, 2018
      • Pooled vehicle clients · unset to 1.0
        Apr 28, 2017 to Mar 22, 2018
      • Other offices · unset to 1.0
        Apr 28, 2017 to Mar 22, 2018
      • Discretionary RAUM · $446M to $528M
        Apr 28, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 527812029.0
        Apr 28, 2017 to Mar 22, 2018
      • RAUM · $446M to $528M
        Apr 28, 2017 to Mar 22, 2018
      • Discretionary RAUM · $441M to $446M
        Mar 21, 2017 to Apr 28, 2017
      • RAUM · $441M to $446M
        Mar 21, 2017 to Apr 28, 2017
      • Advisory employees · 1 to 2
        Mar 16, 2016 to Mar 21, 2017
      • Employees · 1 to 2
        Mar 16, 2016 to Mar 21, 2017
      • Discretionary RAUM · $266M to $441M
        Mar 16, 2016 to Mar 21, 2017
      • RAUM · $266M to $441M
        Mar 16, 2016 to Mar 21, 2017
      Signals
      3 dated events
      • S••••••••• C•••••• M••••••••• L• reported RAUM $201.4M, down 41% from $340.0M (2020-03-26 to 2021-03-29)
        Mar 29, 2021 · RAUM change · derived
      • S••••••••• C•••••• M••••••••• L• reported RAUM $375.5M, down 29% from $527.8M (2018-10-22 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • S••••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Jun 13, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      212-319-2570reportedpublic record, Form ADV, Mar 30, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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