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

Y••• R••••••••• H•••••••• L•••

Former SEC-registered adviserNew Y•••, New YorkCRD 165783SEC 801-77336IAPD
Latest filing Mar 26, 2021
First filing on the tape Oct 30, 2012 · 17 filings
RAUM
$36.6M
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
159
48 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$36.6M as of Mar 26, 2021
Mar 7, 2013$74.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2021
Mar 7, 20130 then
Employees (5.A)159 as of Mar 26, 2021
Mar 7, 2013175 then
Private funds: no history
RAUM -50% over the last fiscal year-43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2021; 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
$36.6MderivedRAUM 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
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
-50%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 investment companiesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$36.6M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• J••••• G••••• · Chairman And Chief Executive Officercontrol
        since 10/1991 · owns 25% to 50%
      • F•••••• J•••• J••••• · Chief Financial Officercontrol
        since 04/2010 · owns less than 5%
      • J•••••• J•••••••• Z••••• · Portfolio M••••••, Partnercontrol
        since 01/2009 · owns less than 5%
      • R••••• A••••• A•••• · Partnercontrol
        since 01/2015 · owns less than 5%
      • R•••••• N•••••• P••• · President & Chief Operating Officercontrol
        since 07/2018 · owns less than 5%
      • S••••••• R••••••• P••• · Chief Legal Officercontrol
        since 06/2019 · owns less than 5%
      • T••••••••• B••••• S••••• · General Counsel & Chief Compliance Officercontrol
        since 05/2019 · owns less than 5%
      • V••••••• W••••••• C•••••• · Chief Investment Officercontrol
        since 01/2019 · owns 10% to 25%
      • Y••••••••• M••••••• · Portfolio M••••••, Partnercontrol
        since 12/2013 · owns less than 5%
      • A•••••• C••••••••• N•• · Former Partner
        since 01/2021 · owns 5% to 10%
      • S•••••••• D•••••• A•••••••• · Former Partner
        since 01/2019 · owns 5% to 10%
      Entity owners
      • Y••• C•••••• M••••••••• · General Partner
        direct · owns less than 5%
      • C••••• S••••• M•••••• H••••••• L•••••• · Passive Investor
        direct · owns 25% to 50% · public reporting company
      • Y•• M••••• H••••••• I•• L••• · L•••••• Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Hong Kong, Hong Kong10 employees
      • London, United Kingdom7 employees
      • Luxembourg City, Luxembourg2 employees
      • Miami, FL1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $73.1M to $36.6M
        Jan 13, 2021 to Mar 26, 2021
      • RAUM · $73.1M to $36.6M
        Jan 13, 2021 to Mar 26, 2021
      • Advisory employees · 74 to 48
        Mar 23, 2020 to Jan 13, 2021
      • Employees · 199 to 159
        Mar 23, 2020 to Jan 13, 2021
      • Discretionary RAUM · $154M to $73.1M
        May 2, 2019 to Mar 23, 2020
      • RAUM · $154M to $73.1M
        May 2, 2019 to Mar 23, 2020
      • Advisory employees · 65 to 74
        Mar 22, 2018 to Mar 27, 2019
      • Employees · 185 to 199
        Mar 22, 2018 to Mar 27, 2019
      • Discretionary RAUM · $200M to $154M
        Mar 22, 2018 to Mar 27, 2019
      • RAUM · $200M to $154M
        Mar 22, 2018 to Mar 27, 2019
      • Advisory employees · 50 to 65
        Mar 27, 2017 to Mar 22, 2018
      • Employees · 192 to 185
        Mar 27, 2017 to Mar 22, 2018
      • Other offices · unset to 4.0
        Mar 27, 2017 to Mar 22, 2018
      • Discretionary RAUM · $186M to $200M
        Mar 27, 2017 to Mar 22, 2018
      • RAUM · $186M to $200M
        Mar 27, 2017 to Mar 22, 2018
      • Accounts · 4 to 1
        Apr 8, 2016 to Mar 27, 2017
      • Employees · 200 to 192
        Apr 8, 2016 to Mar 27, 2017
      • Discretionary RAUM · $417M to $186M
        Apr 8, 2016 to Mar 27, 2017
      • RAUM · $417M to $186M
        Apr 8, 2016 to Mar 27, 2017
      • Employees · 197 to 200
        Mar 31, 2015 to Mar 16, 2016
      • Discretionary RAUM · $400M to $417M
        Mar 31, 2015 to Mar 16, 2016
      • RAUM · $400M to $417M
        Mar 31, 2015 to Mar 16, 2016
      • Accounts · 5 to 4
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 180 to 197
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $295M to $400M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $295M to $400M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 3 to 5
        Sep 9, 2013 to Mar 31, 2014
      • Employees · 175 to 180
        Sep 9, 2013 to Mar 31, 2014
      • Discretionary RAUM · $233M to $295M
        Sep 9, 2013 to Mar 31, 2014
      • RAUM · $233M to $295M
        Sep 9, 2013 to Mar 31, 2014
      • Accounts · 2 to 3
        Mar 28, 2013 to Sep 9, 2013
      • Discretionary RAUM · $84.3M to $233M
        Mar 28, 2013 to Sep 9, 2013
      • RAUM · $84.3M to $233M
        Mar 28, 2013 to Sep 9, 2013
      • Accounts · 1 to 2
        Mar 7, 2013 to Mar 28, 2013
      • Discretionary RAUM · $74.3M to $84.3M
        Mar 7, 2013 to Mar 28, 2013
      • RAUM · $74.3M to $84.3M
        Mar 7, 2013 to Mar 28, 2013
      • Employees · 150 to 175
        Nov 16, 2012 to Mar 7, 2013
      • Discretionary RAUM · $5.0M to $74.3M
        Nov 16, 2012 to Mar 7, 2013
      • RAUM · $5.0M to $74.3M
        Nov 16, 2012 to Mar 7, 2013
      • Related bank · false to true
        Nov 16, 2012 to Mar 7, 2013
      Signals
      11 dated events
      • Matthew Jeremy Blank (Portfolio Manager, Partner) no longer on Schedule A of Y••• R••••••••• H•••••••• L••• (listed 2020-03-23, absent 2021-01-13)
        Jan 13, 2021 · Control person left · inference
      • David Mark Schein (Chief Compliance Officer) no longer on Schedule A of Y••• R••••••••• H•••••••• L••• (listed 2020-03-23, absent 2021-01-13)
        Jan 13, 2021 · Control person left · inference
      • Louise Jeanne Manischewitz (Portfolio Manager, Partner) no longer on Schedule A of Y••• R••••••••• H•••••••• L••• (listed 2020-03-23, absent 2021-01-13)
        Jan 13, 2021 · Control person left · inference
      • Whalen Matthew Bonanno (Partner) no longer on Schedule A of Y••• R••••••••• H•••••••• L••• (listed 2020-03-23, absent 2021-01-13)
        Jan 13, 2021 · Control person left · inference
      • John Fraser Maingay (Partner) no longer on Schedule A of Y••• R••••••••• H•••••••• L••• (listed 2020-03-23, absent 2021-01-13)
        Jan 13, 2021 · Control person left · inference
      • Steven Brian Traficante (General Counsel) appeared on Schedule A of Y••• R••••••••• H•••••••• L•••
        Mar 23, 2020 · Control person joined · fact
      • Marc Herman Christian Reyntjens (Portfolio Manager, Partner) no longer on Schedule A of Y••• R••••••••• H•••••••• L••• (listed 2019-05-02, absent 2020-03-23)
        Mar 23, 2020 · Control person left · inference
      • Mark David Damast (Portfolio Manager, Partner) no longer on Schedule A of Y••• R••••••••• H•••••••• L••• (listed 2019-05-02, absent 2020-03-23)
        Mar 23, 2020 · Control person left · inference
      • Alexander Daniel Schwartz (Chief Investment Officer) no longer on Schedule A of Y••• R••••••••• H•••••••• L••• (listed 2018-03-22, absent 2019-03-27)
        Mar 27, 2019 · Control person left · inference
      • Paul Nathan Romano (Chief Operating Officer) appeared on Schedule A of Y••• R••••••••• H•••••••• L•••
        Mar 27, 2019 · Control person joined · fact
      • Y••• R••••••••• H•••••••• L••• filed its initial SEC registration (Form ADV)
        Oct 30, 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