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

V•••••• C•••••• P•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 169834SEC 801-78918IAPD
Latest filing Mar 29, 2019
First filing on the tape Dec 3, 2013 · 12 filings
RAUM
$294M
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
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$294M gross assets
History
12 filings and snapshots on the tape
RAUM$294M as of Mar 29, 2019
Mar 27, 2015$174M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 27, 20150 then
Employees (5.A)5 as of Mar 29, 2019
Mar 27, 20156 then
Private funds1 as of Mar 29, 2019
Mar 27, 20151 then
RAUM -17% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$98.1MderivedRAUM 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
-17%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
$294M, 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
  • 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)
  • 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
  • Pooled investment vehicles$294M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$294M 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
      V•••• V•••••• M••••• F•••• L•Hedge Fund$294M21Dec 3, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• J•• H•• · Limited Partner / Director Of Researchcontrol
        since 11/2013 · owns 25% to 50%
      • C•••••• A••••••• •••• · Chief Financial Officer / Chief Compliance Officercontrol
        since 09/2016 · owns less than 5%
      • V••••••••• R••• S••••• · Limited Partner / Portfolio Managercontrol
        since 11/2013 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • V•••••• C•••••• P••••••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Apr 27, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 100 to 3
        Apr 27, 2018 to Mar 29, 2019
      • Assets in custody · $370M to $294M
        Apr 27, 2018 to Mar 29, 2019
      • Employees · 7 to 5
        Apr 27, 2018 to Mar 29, 2019
      • Discretionary RAUM · $370M to $294M
        Apr 27, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $370M to $294M
        Apr 27, 2018 to Mar 29, 2019
      • RAUM · $370M to $294M
        Apr 27, 2018 to Mar 29, 2019
      • Assets in custody · $355M to $370M
        Mar 29, 2018 to Apr 27, 2018
      • Discretionary RAUM · $355M to $370M
        Mar 29, 2018 to Apr 27, 2018
      • Pooled vehicle RAUM · $355M to $370M
        Mar 29, 2018 to Apr 27, 2018
      • RAUM · $355M to $370M
        Mar 29, 2018 to Apr 27, 2018
      • Advisory employees · 5 to 4
        Apr 17, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 100.0
        Apr 17, 2017 to Mar 29, 2018
      • Assets in custody · unset to 354541502.0
        Apr 17, 2017 to Mar 29, 2018
      • Custody of client assets · false to true
        Apr 17, 2017 to Mar 29, 2018
      • Employees · 8 to 7
        Apr 17, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Apr 17, 2017 to Mar 29, 2018
      • Discretionary RAUM · $593M to $355M
        Apr 17, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 354541502.0
        Apr 17, 2017 to Mar 29, 2018
      • RAUM · $593M to $355M
        Apr 17, 2017 to Mar 29, 2018
      • Discretionary RAUM · $600M to $593M
        Sep 14, 2016 to Mar 30, 2017
      • RAUM · $600M to $593M
        Sep 14, 2016 to Mar 30, 2017
      • Advisory employees · 4 to 5
        Mar 27, 2015 to Mar 28, 2016
      • Employees · 6 to 8
        Mar 27, 2015 to Mar 28, 2016
      • Discretionary RAUM · $174M to $600M
        Mar 27, 2015 to Mar 28, 2016
      • RAUM · $174M to $600M
        Mar 27, 2015 to Mar 28, 2016
      • Accounts · 2 to 3
        May 1, 2014 to Mar 27, 2015
      • Employees · 5 to 6
        May 1, 2014 to Mar 27, 2015
      • Discretionary RAUM · $133M to $174M
        May 1, 2014 to Mar 27, 2015
      • RAUM · $133M to $174M
        May 1, 2014 to Mar 27, 2015
      • Discretionary RAUM · $83.3M to $133M
        Feb 10, 2014 to May 1, 2014
      • RAUM · $83.3M to $133M
        Feb 10, 2014 to May 1, 2014
      • Accounts · unset to 2.0
        Dec 3, 2013 to Feb 7, 2014
      • Advisory employees · 3 to 4
        Dec 3, 2013 to Feb 7, 2014
      • Employees · 3 to 5
        Dec 3, 2013 to Feb 7, 2014
      • Discretionary RAUM · unset to 83305000.0
        Dec 3, 2013 to Feb 7, 2014
      • Non-discretionary RAUM · unset to 0.0
        Dec 3, 2013 to Feb 7, 2014
      • RAUM · unset to 83305000.0
        Dec 3, 2013 to Feb 7, 2014
      Signals
      2 dated events
      • V•••••• C•••••• P•••••••• L• reported RAUM $354.5M, down 40% from $592.9M (2017-04-17 to 2018-03-29)
        Mar 29, 2018 · ria raum c••••e · derived
      • V•••••• C•••••• P•••••••• L• filed its initial SEC registration (Form ADV)
        Dec 3, 2013 · 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