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
M••••••••• A•••• M••••••••• L••
Latest filing Mar 28, 2024
First filing on the tape Aug 15, 2012 · 34 filings
RAUM
$154M
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
10
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$17.2M gross assets
History
34 filings and snapshots on the tape
RAUM$154M as of Mar 28, 2024
Mar 27, 2013$4.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 27, 20130 then
Employees (5.A)10 as of Mar 28, 2024
Mar 27, 201326 then
Private funds1 as of Mar 28, 2024
Mar 27, 20131 then
RAUM -30% over the last fiscal year-12% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 28, 2024; 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
- $77.0MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -30%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, publicationsreportedItem 5.G
- Custody
- $17.2M, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$137M89%
- Pooled investment vehicles$17.2M11%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.2M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• M••••••••• F•••• L•••no longer reported | Hedge Fund | $509M | 219 | Jan 13, 2012 |
| M••••••••• D••••• P•••••no longer reported | Hedge Fund | $56.9M | 25 | Oct 14, 2013 |
| M••••••••• G••••• T•••• S•• | Hedge Fund | $17.2M | 6 | Jun 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• C•••••• · Membercontrolsince 08/2012 · owns 10% to 25%
- S•••••• M••••••• D•••• · Portfolio Managercontrolsince 03/2024 · owns 10% to 25%
- A••••••• L••••• E•••• · Membersince 08/2012 · owns 5% to 10%
- G••••••••• M••••• D•••• · Membersince 08/2012 · owns 10% to 25%
- J••••••• D••••• C•••••• · Membersince 08/2012 · owns 5% to 10%
- L•••• A•••••• B••• · Membersince 08/2012 · owns 10% to 25%
- P•••••••• Y••••• · Membersince 08/2012 · owns 5% to 10%
- T•••••••• D•••••• F••••••••• · Chief Financial Officer And Chief Compliance Officersince 07/2019 · owns less than 5%
- W••••••• C••••••• H•••• · Membersince 08/2012 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY
What changed
consecutive filings, newest first
- Assets in custody · $14.8M to $17.2MJun 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $221M to $154MJun 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $14.8M to $17.2MJun 29, 2023 to Mar 28, 2024
- RAUM · $221M to $154MJun 29, 2023 to Mar 28, 2024
- HQ city · NEW YORK to unsetMar 24, 2023 to Jun 29, 2023
- HQ state · NY to unsetMar 24, 2023 to Jun 29, 2023
- Other offices · 0 to 1Mar 24, 2023 to Jun 29, 2023
- Private funds · unset to 1Mar 24, 2023 to Jun 29, 2023
- Assets in custody · $13.6M to $14.8MMar 29, 2022 to Mar 24, 2023
- Discretionary RAUM · $208M to $221MMar 29, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $13.6M to $14.8MMar 29, 2022 to Mar 24, 2023
- RAUM · $208M to $221MMar 29, 2022 to Mar 24, 2023
- Assets in custody · $21.6M to $13.6MMar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $224M to $208MMar 29, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $21.6M to $13.6MMar 29, 2021 to Mar 29, 2022
- RAUM · $224M to $208MMar 29, 2021 to Mar 29, 2022
- Assets in custody · $46.8M to $21.6MNov 9, 2020 to Mar 29, 2021
- Discretionary RAUM · $298M to $224MNov 9, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $46.8M to $21.6MNov 9, 2020 to Mar 29, 2021
- RAUM · $298M to $224MNov 9, 2020 to Mar 29, 2021
- Assets in custody · $0 to $46.8MAug 18, 2020 to Nov 9, 2020
- Custody of client assets · false to trueAug 18, 2020 to Nov 9, 2020
- Pooled vehicle clients · unset to 1.0Jan 31, 2020 to Mar 30, 2020
- Discretionary RAUM · $441M to $298MJan 31, 2020 to Mar 30, 2020
- Pooled vehicle RAUM · unset to 46781732.0Jan 31, 2020 to Mar 30, 2020
- RAUM · $441M to $298MJan 31, 2020 to Mar 30, 2020
- Other offices · 1 to 0Aug 29, 2019 to Jan 31, 2020
- Advisory employees · 5 to 3Mar 29, 2019 to Aug 29, 2019
- Employees · 9 to 10Mar 29, 2019 to Aug 29, 2019
- Other offices · 2 to 1Mar 29, 2019 to Aug 29, 2019
- Accounts · 1 to 2Mar 29, 2018 to Mar 29, 2019
- Advisory employees · 4 to 5Mar 29, 2018 to Mar 29, 2019
- Employees · 13 to 9Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $608M to $441MMar 29, 2018 to Mar 29, 2019
- RAUM · $608M to $441MMar 29, 2018 to Mar 29, 2019
- Advisory employees · 6 to 4Sep 18, 2017 to Mar 29, 2018
- Employees · 21 to 13Sep 18, 2017 to Mar 29, 2018
- Other offices · unset to 2.0Sep 18, 2017 to Mar 29, 2018
- Discretionary RAUM · $704M to $608MSep 18, 2017 to Mar 29, 2018
- RAUM · $704M to $608MSep 18, 2017 to Mar 29, 2018
Signals
4 dated events
- M••••••••• A•••• M••••••••• L•• reported RAUM $298.0M, down 32% from $441.0M (2020-01-31 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- M••••••••• A•••• M••••••••• L•• reported RAUM $441.0M, down 27% from $608.0M (2018-03-29 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- M••••••••• A•••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 27, 2013 · Succession (Item 4) · fact
- M••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 15, 2012 · 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