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

T•••• C•••••• M••••••••• I•••

Former SEC-registered adviserWexford, PennsylvaniaCRD 167303SEC 801-116819IAPD
Latest filing Apr 2, 2020
First filing on the tape May 21, 2019 · 2 filings
RAUM
$638M
reported, Item 5.F
Discretionary
45%
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
14
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$567M gross assets
History
2 filings and snapshots on the tape
RAUM$638M as of Apr 2, 2020
May 21, 2019$698M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2020
May 21, 20190 then
Employees (5.A)14 as of Apr 2, 2020
May 21, 201914 then
Private funds5 as of Apr 2, 2020
May 21, 201912 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 2, 2020; 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
45%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
unknownderivedbetween 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
$638M, 5 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)
  • 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$638M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$638M for 5 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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      W•••••• A•••••••• C•••••• I••• L••Private Equity Fund$150M1Mar 27, 2019
      F••••• C•••••• C••••••••• L••Private Equity Fund$125M1Dec 19, 2013
      W•••••• A•••••••• C••••••• L••Private Equity Fund$100M1Mar 29, 2018
      W•••••• A•••••••• C•••••• I•• L••Private Equity Fund$100M1Mar 27, 2019
      T•••• C•••••• P••••••• I•• L•Other Private Fund$66.3M83Mar 29, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• S•••••• · Managing Partnercontrol
        since 08/2013 · owns 50% to 75%
      • H••••••• M••••••• L• · Partnercontrol
        since 08/2013 · owns 10% to 25%
      • S••••• T••••• S•••• · Partnercontrol
        since 08/2013 · owns 10% to 25%
      • S••••••••• L••••• · Chief Compliance Officer
        since 05/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      • F••••• C•••••• P•••••••• L••
        pooled vehicle sponsory
      • T•••• C•••••• P••••••• I•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $698M to $638M
        May 21, 2019 to Apr 2, 2020
      • Private funds · 12 to 5
        May 21, 2019 to Apr 2, 2020
      • Discretionary RAUM · $348M to $287M
        May 21, 2019 to Apr 2, 2020
      • Non-discretionary RAUM · $350M to $351M
        May 21, 2019 to Apr 2, 2020
      • Pooled vehicle RAUM · $698M to $638M
        May 21, 2019 to Apr 2, 2020
      • RAUM · $698M to $638M
        May 21, 2019 to Apr 2, 2020
      Signals
      1 dated events
      • T•••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
        May 21, 2019 · 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