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

W•••••••• P••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 163650SEC 801-78233IAPD
Latest filing Mar 31, 2017
First filing on the tape Jun 17, 2013 · 6 filings
RAUM
$157M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$157M gross assets
History
6 filings and snapshots on the tape
RAUM$157M as of Mar 31, 2017
Mar 31, 2014$218M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 31, 20140 then
Employees (5.A)4 as of Mar 31, 2017
Mar 31, 20144 then
Private funds6 as of Mar 31, 2017
Mar 31, 20146 then
RAUM -25% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$26.1MderivedRAUM 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
-25%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 vehicles, selection of other advisersreportedItem 5.G
Custody
$157M, 6 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)
  • compensates persons for client referrals (8.G.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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$157M for 6 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H•••••• P••••••• F••• I• L•Hedge Fund$73.2M13Mar 29, 2012
      H•••••• P••••••• O••••••• F••• L••••••Hedge Fund$36.3M9Mar 29, 2012
      W•••••••• P••••••• I•• L•Private Equity Fund$19.5M49Mar 30, 2012
      W•••••••• P••••••• P••••• I••••••••• M••••• F•••• L•Hedge Fund$18.6M2Mar 19, 2013
      W•••••••• P••••••• P••••• I••••••••• L•Hedge Fund$8.8M22Mar 30, 2012
      W•••••••• P••••••• P••••• I••••••••• O••••••• L•••Hedge Fund$01Mar 19, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• J••••• H••••• · Cco, Managing Member, Ceocontrol
        since 07/2008 · owns 75% or more
      Related persons
      Schedule D 7.A
      • W•••••••• P••••••• G•• L••
        pooled vehicle sponsorn
      • W•••••••• P••••••• P••••• I••••••••• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $173M to $157M
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $209M to $157M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $209M to $157M
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $209M to $173M
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $209M to $209M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $209M to $209M
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $43.5M to $209M
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $80.7M to $209M
        Mar 31, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $138M to $0
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $218M to $209M
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · unset to 43532663.0
        Jul 26, 2013 to Mar 31, 2014
      • Custody of client assets · false to true
        Jul 26, 2013 to Mar 31, 2014
      • Private funds · 4 to 6
        Jul 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $99.9M to $80.7M
        Jul 26, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $122M to $138M
        Jul 26, 2013 to Mar 31, 2014
      • RAUM · $222M to $218M
        Jul 26, 2013 to Mar 31, 2014
      • Assets in custody · 13514764.0 to unset
        Jun 17, 2013 to Jul 26, 2013
      • Private funds · 8 to 4
        Jun 17, 2013 to Jul 26, 2013
      Signals
      1 dated events
      • W•••••••• P••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 17, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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