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

S••••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 163610SEC 801-77999IAPD
Latest filing Mar 29, 2018
First filing on the tape Apr 19, 2013 · 9 filings
RAUM
$964M
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
1
beyond the principal office
Private funds
3
$1.5B gross assets
History
9 filings and snapshots on the tape
RAUM$964M as of Mar 29, 2018
Mar 25, 2014$442M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 25, 20140 then
Employees (5.A)8 as of Mar 29, 2018
Mar 25, 20147 then
Private funds3 as of Mar 29, 2018
Mar 25, 20144 then
RAUM -31% over the last fiscal year-1.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$241MderivedRAUM 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
-31%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
Custody
$940M, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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$964M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$940M 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• H••••••••• M••••• F•••• L•Hedge Fund$940M2Mar 30, 2012
      S••••• H••••••••• I••••••••• F•••• L•••Hedge Fund$432M29Apr 19, 2013
      S••••• H••••••••• U• F•••• L•Hedge Fund$121M13Apr 19, 2013
      S••••• P••••• L•••no longer reportedHedge Fund$108M10Apr 19, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• A•••• N•• · Managing Membercontrol
        since 04/2011 · owns 75% or more
      • C••••••• J••••• N•• · Chief Financial Officer And Director Of Operationscontrol
        since 05/2012 · owns less than 5%
      • F••••• E•••••• S••••• · General Counsel And Chief Compliance Officercontrol
        since 11/2014 · owns less than 5%
      • Y•••••••• J•••• R•••••• · Managing Membercontrol
        since 04/2011 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • S••••• A•••• M••••••••• G•••• L••
        pooled vehicle sponsorn
      • S••••• H••••••••• M••••• G•• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Jupiter, FL1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 4
        Mar 30, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 4.0
        Mar 30, 2017 to Mar 29, 2018
      • Assets in custody · $1.4B to $940M
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 10 to 8
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.4B to $964M
        Mar 30, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 963755438.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $1.4B to $964M
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 5 to 6
        Mar 30, 2016 to Mar 30, 2017
      • Assets in custody · unset to 1368549679.0
        Mar 30, 2016 to Mar 30, 2017
      • Custody of client assets · false to true
        Mar 30, 2016 to Mar 30, 2017
      • Employees · 9 to 10
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.7B to $1.4B
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $1.7B to $1.4B
        Mar 30, 2016 to Mar 30, 2017
      • Accounts · 2 to 4
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.0B to $1.7B
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $1.0B to $1.7B
        Mar 30, 2015 to Mar 30, 2016
      • Accounts · 3 to 2
        Dec 3, 2014 to Mar 30, 2015
      • Advisory employees · 4 to 5
        Dec 3, 2014 to Mar 30, 2015
      • Employees · 7 to 9
        Dec 3, 2014 to Mar 30, 2015
      • Private funds · 4 to 3
        Dec 3, 2014 to Mar 30, 2015
      • Discretionary RAUM · $442M to $1.0B
        Dec 3, 2014 to Mar 30, 2015
      • RAUM · $442M to $1.0B
        Dec 3, 2014 to Mar 30, 2015
      • Accounts · 2 to 3
        Apr 19, 2013 to Mar 25, 2014
      • Employees · 6 to 7
        Apr 19, 2013 to Mar 25, 2014
      • Private funds · 8 to 4
        Apr 19, 2013 to Mar 25, 2014
      • Discretionary RAUM · $233M to $442M
        Apr 19, 2013 to Mar 25, 2014
      • RAUM · $233M to $442M
        Apr 19, 2013 to Mar 25, 2014
      Signals
      2 dated events
      • S••••• A•••• M••••••••• L•• reported RAUM $963.8M, down 31% from $1.4B (2017-03-30 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • S••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 19, 2013 · 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