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
C••••••• P••••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2016
First filing on the tape Feb 4, 2014 · 11 filings
RAUM
$34.2M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$34.2M gross assets
History
11 filings and snapshots on the tape
RAUM$34.2M as of Mar 29, 2016
Mar 23, 2015$493M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 23, 20150 then
Employees (5.A)4 as of Mar 29, 2016
Mar 23, 20154 then
Private funds2 as of Mar 29, 2016
Mar 23, 20152 then
RAUM -93% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
- $17.1MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -93%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- yesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- 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
- $0 for 0 clientsreported
- Compensation
- fixed, hourly, 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••• B•••••• F••• A••••• L• | Hedge Fund | $23.9M | 2 | Jun 17, 2014 |
| V••••• B•••••• F••• B•••• L• | Hedge Fund | $10.3M | 7 | Jun 17, 2014 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• J•••• L••• M•••• · M••••••controlsince 05/2014 · owns less than 5%
- L••••• C••••••••• P••• Y••• · M••••••controlsince 05/2014 · owns less than 5%
- L• J•••••• J•••••• N•• · M••••••controlsince 05/2015 · owns less than 5%
- R••••• B••••• · M••••••controlsince 05/2014 · owns less than 5%
- R••••• Y••••• D••• · M••••••controlsince 05/2014 · owns less than 5%
- R•••• C••••••••• R•••• · M••••••controlsince 05/2014 · owns less than 5%
- V•••• D• C••••••• T•••••• · Chief Compliance Officercontrolsince 06/2014 · owns less than 5%
- M•••••• K••••••• D•••• · Membercontrolsince 06/2007 · owns 75% or more of M••••• • C•••••• M•••••• L••
Entity owners
- N•••••• N•••• A•••••• L•• · Memberdirect · owns 50% to 75%
- S•••••• H••••••• L•• · Memberdirect · owns 50% to 75%
- B••• · Ownerindirect · owns 50% to 75% of N•••••• S•
- M••••• • C•••••• H••••••• G• L•• · General Partnerindirect · owns F of M••••• A•••• M••••••••• L•
- M••••• • C•••••• M•••••• L•• · Memberindirect · owns 75% or more of M••••• • C•••••• H••••••• G• L••
- M••••• A•••• M••••••••• L• · Memberindirect · owns 75% or more of S•••••• H••••••• L••
- N•••••• G••••• A•••• M••••••••• · Ownerindirect · owns 75% or more of N•••••• G••••• A•••• M••••••••• P••••••••• 1•
- N•••••• G••••• A•••• M••••••••• P••••••••• 1• · Ownerindirect · owns 75% or more of N•••••• U• H••••••• I•••
- N•••••• S• · Ownerindirect · owns 75% or more of N•••••• G••••• A•••• M•••••••••
- N•••••• U• H••••••• I••• · Ownerindirect · owns 75% or more of N•••••• N•••• A•••••• L••
- V•••• L•• · Memberindirect · owns 75% or more of V•••• L••
- V•••• L•• · Memberindirect · owns 75% or more of V•••• L••
Related persons
Schedule D 7.A
- M••••• • C•••••• L••broker-dealern
- N•••••• S••••••••• A••••••• L••broker-dealernRAUM $57.5M
- V•••• L••investment adviserpooled vehicle sponsory
- V•••• L••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $174M to $34.2MJul 20, 2015 to Mar 29, 2016
- RAUM · $174M to $34.2MJul 20, 2015 to Mar 29, 2016
- Discretionary RAUM · $493M to $174MJun 2, 2015 to Jul 20, 2015
- RAUM · $493M to $174MJun 2, 2015 to Jul 20, 2015
- Advisory activities · 1 to 2Jul 24, 2014 to Mar 23, 2015
- Discretionary RAUM · $763M to $493MJul 24, 2014 to Mar 23, 2015
- RAUM · $763M to $493MJul 24, 2014 to Mar 23, 2015
- Accounts · unset to 2.0Apr 23, 2014 to Jun 17, 2014
- Advisory employees · 4 to 3Apr 23, 2014 to Jun 17, 2014
- BD registered reps · 1 to 0Apr 23, 2014 to Jun 17, 2014
- Business name · S••••••• L•• to C••••••• P••••••• C•••••• M••••••••• L••Apr 23, 2014 to Jun 17, 2014
- Assets in custody · unset to 0.0Apr 23, 2014 to Jun 17, 2014
- Custody of client assets · false to trueApr 23, 2014 to Jun 17, 2014
- Employees · 5 to 4Apr 23, 2014 to Jun 17, 2014
- Legal name · S••••••• L•• to C••••••• P••••••• C•••••• M••••••••• L••Apr 23, 2014 to Jun 17, 2014
- Private funds · unset to 2Apr 23, 2014 to Jun 17, 2014
- Discretionary RAUM · unset to 762617073.0Apr 23, 2014 to Jun 17, 2014
- Non-discretionary RAUM · unset to 0.0Apr 23, 2014 to Jun 17, 2014
- RAUM · unset to 762617073.0Apr 23, 2014 to Jun 17, 2014
Signals
1 dated events
- S••••••• L•• filed its initial SEC registration (Form ADV)Feb 4, 2014 · 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