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•••••• R•••••• M••••••••• L••
Latest filing Apr 26, 2019
First filing on the tape Mar 30, 2016 · 7 filings
RAUM
$236M
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
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$74.2M gross assets
History
7 filings and snapshots on the tape
RAUM$236M as of Mar 13, 2019
Feb 21, 2017$435M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2019
Feb 21, 20170 then
Employees (5.A)7 as of Mar 13, 2019
Feb 21, 20177 then
Private funds1 as of Mar 13, 2019
Feb 21, 20171 then
RAUM -51% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 26, 2019; 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
- $59.0MderivedRAUM 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
- -51%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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$236M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- n/areported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• R•••••• M•••••• L•• | Hedge Fund | $100M | 24 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••••• D•••• · President, Membercontrolsince 06/2003 · owns 75% or more
- C•••• J•••• · Chief Operating Officercontrolsince 06/2008 · owns less than 5%
- L••••• J•• · Chief Financial Officer And Chief Compliance Officercontrolsince 02/2016 · owns less than 5%
- B•••••• R•••••• D•••• · Sole Membercontrolsince 06/2016 · owns 75% or more of C•••••• R•••••• M••••••••• H••••••• G•• L••
- B•••••• R•••••• D•••• · Limited Partnercontrolsince 06/2016 · owns 75% or more of C•••••• R•••••• M••••••••• H•••••••• L•
Entity owners
- C•••••• R•••••• M••••••••• H•••••••• L• · Managing Memberdirect · owns 75% or more
- C•••••• R•••••• M••••••••• H••••••• G•• L•• · General Partnerindirect · owns F of C•••••• R•••••• M••••••••• H•••••••• L•
Related persons
Schedule D 7.A
- C•••••• R•••••• A•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Jun 1, 2018 to Mar 13, 2019
- Employees · 8 to 7Jun 1, 2018 to Mar 13, 2019
- Discretionary RAUM · $483M to $236MJun 1, 2018 to Mar 13, 2019
- Pooled vehicle RAUM · $483M to $236MJun 1, 2018 to Mar 13, 2019
- RAUM · $483M to $236MJun 1, 2018 to Mar 13, 2019
- Advisory employees · 3 to 4Feb 21, 2017 to Mar 26, 2018
- Pooled vehicle clients · unset to 4.0Feb 21, 2017 to Mar 26, 2018
- Employees · 7 to 8Feb 21, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Feb 21, 2017 to Mar 26, 2018
- Discretionary RAUM · $435M to $483MFeb 21, 2017 to Mar 26, 2018
- Pooled vehicle RAUM · unset to 483180942.0Feb 21, 2017 to Mar 26, 2018
- RAUM · $435M to $483MFeb 21, 2017 to Mar 26, 2018
- Employees · 6 to 7Aug 3, 2016 to Feb 21, 2017
- Discretionary RAUM · $268M to $435MAug 3, 2016 to Feb 21, 2017
- RAUM · $268M to $435MAug 3, 2016 to Feb 21, 2017
- Private funds · 2 to 1Mar 30, 2016 to Aug 3, 2016
Signals
2 dated events
- C•••••• R•••••• M••••••••• L•• reported RAUM $236.0M, down 51% from $483.2M (2018-06-01 to 2019-03-13)Mar 13, 2019 · RAUM change · derived
- C•••••• R•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2016 · First SEC registration · fact
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