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

S••••••• C•••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 164069SEC 801-76591IAPD
Latest filing Mar 30, 2016
First filing on the tape Apr 17, 2012 · 8 filings
RAUM
$512M
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
9
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$448M gross assets
History
8 filings and snapshots on the tape
RAUM$512M as of Mar 30, 2016
Apr 1, 2013$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Apr 1, 20130 then
Employees (5.A)9 as of Mar 30, 2016
Apr 1, 201310 then
Private funds1 as of Mar 30, 2016
Apr 1, 20131 then
RAUM -33% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$128MderivedRAUM 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
-33%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
$448M, 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
  • 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
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$448M 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
      S••••••• M••••• F•••• L•••Hedge Fund$448M18Jun 22, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• A••••••• •••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 06/2012 · owns less than 5%
      • O•• K•••••• Y•••• · Chief Executive Officercontrol
        since 04/2012 · owns less than 5%
      • H•••• C••••• A•••• · Senior Managing Membercontrol
        since 02/1997 · owns 25% to 50% of R•••• L••
      • O•• K•••••• Y•••• · Ownercontrol
        since 01/2013 · owns 75% or more of S••••••• A••••••••• L•••••
      • O•• K•••••• Y•••• · Managing Membercontrol
        since 06/2012 · owns 75% or more of S••••••• C•••••• M••••••••• G•• L•••••
      • O•• K•••••• Y•••• · Ownercontrol
        since 12/2012 · owns 75% or more of S••••••• M••••••••• A••••••••• L•••••
      • S••••• D•••••• H••••••• · Senior Managing Membercontrol
        since 02/1997 · owns 25% to 50% of R•••• L••
      • O•• C••••••• A•••••• · Trustee - O• F••••• 2••• T••••
        since 06/2012 · owns 5% to 10%
      • S••••• R••••••• W••••• · Trustee - O• F••••• 2••• T••••
        since 06/2012 · owns 5% to 10%
      Entity owners
      • S••••••• A••••••••• L••••• · Managing Member S••••••• A•••••••• L•••••
        direct · owns 75% or more
      • S••••••• C•••••• M••••••••• G•• L••••• · General Partner
        direct · owns less than 5%
      • S••••••• M••••••••• A••••••••• L••••• · Limited Partner
        direct · owns 50% to 75%
      • R•••• L•• · Managing Member
        indirect · owns F of R•••••••• C•••••• G••••• L•••••
      • R•••••••• C•••••• G••••• L••••• · General Partner
        indirect · owns F of R•••••••• S•••••••• P••••••• F••• G•• L••
      • R•••••••• S•••••••• P••••••• F••• G•• L•• · General Partner
        indirect · owns F of R•••••••• S•••••••• P••••••• F•••• L•••
      • O• F••••• 2••• T•••• · Non-Managing Member - S••••••• A•••••••• L•••••
        direct · owns 5% to 10%
      • R•••••••• S•••••••• P••••••• F•••• L••• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • S••••••• A•••••••• L•••••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $550M to $448M
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 12 to 9
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $764M to $512M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $764M to $512M
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 8 to 7
        Sep 30, 2014 to Mar 31, 2015
      • Assets in custody · $575M to $550M
        Sep 30, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.1B to $764M
        Sep 30, 2014 to Mar 31, 2015
      • RAUM · $1.1B to $764M
        Sep 30, 2014 to Mar 31, 2015
      • Accounts · 3 to 4
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · 7 to 8
        Apr 1, 2013 to Mar 31, 2014
      • Assets in custody · $325M to $575M
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 10 to 12
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $1.0B to $1.1B
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $1.0B to $1.1B
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · unset to 7.0
        Jun 22, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Jun 22, 2012 to Apr 1, 2013
      • Assets in custody · $205M to $325M
        Jun 22, 2012 to Apr 1, 2013
      • Employees · unset to 10.0
        Jun 22, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Jun 22, 2012 to Apr 1, 2013
      • Discretionary RAUM · $873M to $1.0B
        Jun 22, 2012 to Apr 1, 2013
      • RAUM · $873M to $1.0B
        Jun 22, 2012 to Apr 1, 2013
      • Accounts · unset to 3.0
        Jun 1, 2012 to Jun 22, 2012
      • Advisory activities · 2 to 1
        Jun 1, 2012 to Jun 22, 2012
      • Assets in custody · unset to 205250000.0
        Jun 1, 2012 to Jun 22, 2012
      • Custody of client assets · false to true
        Jun 1, 2012 to Jun 22, 2012
      • Private funds · unset to 1
        Jun 1, 2012 to Jun 22, 2012
      • Discretionary RAUM · unset to 873305751.0
        Jun 1, 2012 to Jun 22, 2012
      • Non-discretionary RAUM · unset to 0.0
        Jun 1, 2012 to Jun 22, 2012
      • RAUM · unset to 873305751.0
        Jun 1, 2012 to Jun 22, 2012
      • Related adviser · false to true
        Jun 1, 2012 to Jun 22, 2012
      • Related bank · false to true
        Jun 1, 2012 to Jun 22, 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