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
A••••••••• C•••••• A•••••••• L••
Latest filing Apr 19, 2021
First filing on the tape Sep 25, 2013 · 17 filings
RAUM
$164M
reported, Item 5.F
Discretionary
0.0%
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$51.8M gross assets
History
17 filings and snapshots on the tape
RAUM$164M as of Mar 31, 2021
Mar 31, 2014$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 31, 20140 then
Employees (5.A)3 as of Mar 31, 2021
Mar 31, 20143 then
Private funds3 as of Mar 31, 2021
Mar 31, 20141 then
RAUM +5.2% over the last fiscal year+0.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 19, 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
- $14.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +5.2%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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $33.4M, 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
- 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)
- 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
- Pooled investment vehicles$164M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.4M 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••••• V•••••• P••••••• F•••• L• | Venture Capital Fund | $18.4M | 48 | Mar 7, 2019 |
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J••••• · Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
- D••••••••• J•••••• L• · Membercontrolsince 11/2016 · owns less than 5%
- D••••••• S••••••• V• · Chief Investment Officercontrolsince 06/2020 · owns less than 5%
- F••••••• A•••••• J••• · Membercontrolsince 08/2013 · owns 25% to 50%
- L••••••• C••••••••• J••• · Membercontrolsince 08/2013 · owns 25% to 50%
- M•••••• J•••• P•••• · Membercontrolsince 02/2016 · owns 25% to 50%
Entity owners
- R••• R•• C•••••• L•• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Mar 31, 2021 to Apr 19, 2021
- Discretionary RAUM · $33.4M to $0Mar 31, 2021 to Apr 19, 2021
- Non-discretionary RAUM · $131M to $164MMar 31, 2021 to Apr 19, 2021
- Related adviser · false to trueMar 31, 2021 to Apr 19, 2021
- Accounts · 13 to 11Aug 6, 2020 to Mar 31, 2021
- Advisory employees · 2 to 1Aug 6, 2020 to Mar 31, 2021
- Pooled vehicle clients · 13 to 11Aug 6, 2020 to Mar 31, 2021
- Assets in custody · unset to 33436587.0Aug 6, 2020 to Mar 31, 2021
- Custody of client assets · false to trueAug 6, 2020 to Mar 31, 2021
- Employees · 4 to 3Aug 6, 2020 to Mar 31, 2021
- Discretionary RAUM · $42.5M to $33.4MAug 6, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $114M to $131MAug 6, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $156M to $164MAug 6, 2020 to Mar 31, 2021
- RAUM · $156M to $164MAug 6, 2020 to Mar 31, 2021
- Employees · 2 to 4Mar 26, 2020 to Aug 6, 2020
- HQ city · NEW YORK to PURCHASEMar 26, 2020 to Aug 6, 2020
- Accounts · 12 to 13Mar 7, 2019 to Mar 26, 2020
- Advisory employees · 3 to 2Mar 7, 2019 to Mar 26, 2020
- Advisory activities · 2 to 3Mar 7, 2019 to Mar 26, 2020
- Pooled vehicle clients · 12 to 13Mar 7, 2019 to Mar 26, 2020
- Employees · 3 to 2Mar 7, 2019 to Mar 26, 2020
- Discretionary RAUM · $53.4M to $42.5MMar 7, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $74.0M to $114MMar 7, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $127M to $156MMar 7, 2019 to Mar 26, 2020
- RAUM · $127M to $156MMar 7, 2019 to Mar 26, 2020
- Accounts · 11 to 12Jul 23, 2018 to Mar 7, 2019
- Pooled vehicle clients · 11 to 12Jul 23, 2018 to Mar 7, 2019
- Employees · 4 to 3Jul 23, 2018 to Mar 7, 2019
- Private funds · 2 to 3Jul 23, 2018 to Mar 7, 2019
- Discretionary RAUM · $79.8M to $53.4MJul 23, 2018 to Mar 7, 2019
- Non-discretionary RAUM · $80.0M to $74.0MJul 23, 2018 to Mar 7, 2019
- Pooled vehicle RAUM · $160M to $127MJul 23, 2018 to Mar 7, 2019
- RAUM · $160M to $127MJul 23, 2018 to Mar 7, 2019
- Discretionary RAUM · $81.6M to $79.8MApr 3, 2018 to Jul 23, 2018
- Pooled vehicle RAUM · $162M to $160MApr 3, 2018 to Jul 23, 2018
- RAUM · $162M to $160MApr 3, 2018 to Jul 23, 2018
- Related bank · false to trueMar 30, 2018 to Apr 3, 2018
- Accounts · 8 to 11Mar 30, 2017 to Mar 30, 2018
- BD registered reps · 1 to 0Mar 30, 2017 to Mar 30, 2018
- Pooled vehicle clients · unset to 11.0Mar 30, 2017 to Mar 30, 2018
Signals
4 dated events
- Joanne Costantini (Chief Compliance Officer) appeared on Schedule A of A••••••••• C•••••• A•••••••• L••Aug 6, 2020 · Control person joined · fact
- V Stephen Ditursi (Chief Investment Officer) appeared on Schedule A of A••••••••• C•••••• A•••••••• L••Aug 6, 2020 · Control person joined · fact
- Harry Michael Novick (Chief Compliance Officer & Manager) no longer on Schedule A of A••••••••• C•••••• A•••••••• L•• (listed 2020-03-26, absent 2020-08-06)Aug 6, 2020 · Control person left · inference
- A••••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 25, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A••••••••• C•••••• A•••••••• L•• · Venture Capitalshared crd · organization
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