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

S•••• E•••• C••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 170624SEC 801-79480website IAPD

Latest filing Dec 9, 2024

First filing on the tape Mar 25, 2014 · 24 filings

SEC status approved since Apr 14, 2014

RAUM

$1.3B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$1.7B gross assets

History

24 filings and snapshots on the tape

RAUM$1.3B as of Mar 19, 2024

Mar 26, 2015$124M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 19, 2024

Mar 26, 20150 then

Employees (5.A)22 as of Mar 19, 2024

Mar 26, 20153 then

Private funds4 as of Mar 19, 2024

Mar 26, 20151 then

RAUM +102% over the last fiscal year+42% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Dec 9, 2024; 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: $337MderivedRAUM 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: +102%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: 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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$1.3B100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $0 for 0 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 departure Every arrival

Private funds

5 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S•••• E•••• C•••••• M••••• F•••• L•	Hedge Fund	$1.3B	2	Mar 19, 2024
S•••• E•••• C•••••• O••••••• F•••• L•	Hedge Fund	$369M	18	Mar 19, 2024
W•••••• C•••••• S••••• F••• L•• • S••••• A•no longer reported	Hedge Fund	$124M	1	Mar 25, 2014
S•••• E•••• C•••••• F•••• L•	Hedge Fund	$21.0M	8	Mar 19, 2024
S•••• E•••• C•••••• P•••••••• L•	Hedge Fund	$902,667	11	Mar 29, 2018

Owners and control persons

Schedule A and B, latest filing

B••••• P•••••• •••• · Ciocontrol
since 07/2023 · owns less than 5%
C•••• S••••••• E•••••• · Limited Partner, Co-Chief Executive Officercontrol
since 02/2016 · owns 25% to 50%
C•••••••• E•••• P•••• · Chief Financial Officercontrol
since 06/2024 · owns less than 5%
H••• J•••• •••• · Ccocontrol
since 01/2024 · owns less than 5%
S•••••• A•••••• J•••• · Limited Partner, Co-Chief Executive Officercontrol
since 02/2016 · owns 25% to 50%
C•••• S••••••• E•••••• · Managing Membercontrol
since 11/2012 · owns 50% to 75% of S•••• E•••• C••••••• L••
S•••••• A•••••• J•••• · Managing Membercontrol
since 11/2012 · owns 50% to 75% of S•••• E•••• C••••••• L••

Entity owners

S•••• E•••• C••••••• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

S•••• E•••• C•••••• F••• G•• L••
pooled vehicle sponsorn
S•••• E•••• C•••••• G•• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

Boston, MA1 employees

What changed

consecutive filings, newest first

Accounts · 3 to 4
Mar 31, 2023 to Mar 19, 2024
Advisory employees · 20 to 6
Mar 31, 2023 to Mar 19, 2024
Pooled vehicle clients · 3 to 4
Mar 31, 2023 to Mar 19, 2024
Assets in custody · unset to 0.0
Mar 31, 2023 to Mar 19, 2024
Custody of client assets · false to true
Mar 31, 2023 to Mar 19, 2024
Employees · 31 to 22
Mar 31, 2023 to Mar 19, 2024
Private funds · 1 to 4
Mar 31, 2023 to Mar 19, 2024
Discretionary RAUM · $667M to $1.3B
Mar 31, 2023 to Mar 19, 2024
Pooled vehicle RAUM · $667M to $1.3B
Mar 31, 2023 to Mar 19, 2024
RAUM · $667M to $1.3B
Mar 31, 2023 to Mar 19, 2024
Advisory employees · 24 to 20
Jun 17, 2022 to Mar 31, 2023
Employees · 35 to 31
Jun 17, 2022 to Mar 31, 2023
Discretionary RAUM · $1.2B to $667M
Jun 17, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $1.2B to $667M
Jun 17, 2022 to Mar 31, 2023
RAUM · $1.2B to $667M
Jun 17, 2022 to Mar 31, 2023
Other offices · 0 to 1
Mar 30, 2022 to May 25, 2022
Advisory employees · 23 to 24
Oct 22, 2021 to Mar 30, 2022
Employees · 29 to 35
Oct 22, 2021 to Mar 30, 2022
Discretionary RAUM · $467M to $1.2B
Oct 22, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $467M to $1.2B
Oct 22, 2021 to Mar 30, 2022
RAUM · $467M to $1.2B
Oct 22, 2021 to Mar 30, 2022
HQ city · STAMFORD to NEW YORK
Jun 21, 2021 to Oct 22, 2021
HQ state · CT to NY
Jun 21, 2021 to Oct 22, 2021
Accounts · 4 to 3
Jan 15, 2021 to Mar 31, 2021
Pooled vehicle clients · 4 to 3
Jan 15, 2021 to Mar 31, 2021
Employees · 25 to 29
Jan 15, 2021 to Mar 31, 2021
Discretionary RAUM · $2.0B to $467M
Jan 15, 2021 to Mar 31, 2021
Pooled vehicle RAUM · $2.0B to $467M
Jan 15, 2021 to Mar 31, 2021
RAUM · $2.0B to $467M
Jan 15, 2021 to Mar 31, 2021
HQ city · NEW YORK to STAMFORD
Mar 17, 2020 to Jan 15, 2021
HQ state · NY to CT
Mar 17, 2020 to Jan 15, 2021
Accounts · 3 to 4
Oct 16, 2019 to Mar 17, 2020
Advisory employees · 8 to 23
Oct 16, 2019 to Mar 17, 2020
Pooled vehicle clients · 3 to 4
Oct 16, 2019 to Mar 17, 2020
Employees · 22 to 25
Oct 16, 2019 to Mar 17, 2020
Discretionary RAUM · $3.6B to $2.0B
Oct 16, 2019 to Mar 17, 2020
Pooled vehicle RAUM · $3.6B to $2.0B
Oct 16, 2019 to Mar 17, 2020
RAUM · $3.6B to $2.0B
Oct 16, 2019 to Mar 17, 2020
Employees · 16 to 22
Jun 11, 2019 to Oct 16, 2019
Accounts · 1 to 3
Mar 29, 2018 to Jan 30, 2019

Signals

18 dated events

S•••• E•••• C••••••• L• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $1.3B)
Feb 3, 2025 · Left the SEC roster · derived
Michael Adam Kravetz (Coo) no longer on Schedule A of S•••• E•••• C••••••• L• (listed 2024-04-18, absent 2024-07-12)
Jul 12, 2024 · Control person left · inference
Peter Eric Cressman (Chief Financial Officer) appeared on Schedule A of S•••• E•••• C••••••• L•
Jul 12, 2024 · Control person joined · fact
S•••• E•••• C••••••• L• reported RAUM $1.3B, up 102% from $666.5M (2023-03-31 to 2024-03-19)
Mar 19, 2024 · RAUM change · derived
(Nmn) Puneet Batra (Cio) appeared on Schedule A of S•••• E•••• C••••••• L•
Mar 19, 2024 · Control person joined · fact
(Nmn) Jing Hua (Cco) appeared on Schedule A of S•••• E•••• C••••••• L•
Mar 19, 2024 · Control person joined · fact
S•••• E•••• C••••••• L• reported RAUM $666.5M, down 42% from $1.2B (2022-06-17 to 2023-03-31)
Mar 31, 2023 · RAUM change · derived
R Z•••••• M••••• (Cto) no longer on Schedule A of S•••• E•••• C••••••• L• (listed 2022-06-17, absent 2023-03-31)
Mar 31, 2023 · Control person left · inference
S•••• E•••• C••••••• L• reported RAUM $1.2B, up 147% from $466.6M (2021-10-22 to 2022-03-30)
Mar 30, 2022 · RAUM change · derived
S•••• E•••• C••••••• L• reported RAUM $466.6M, down 76% from $2.0B (2021-01-15 to 2021-03-31)
Mar 31, 2021 · RAUM change · derived
S•••• E•••• C••••••• L• reported RAUM $2.0B, down 46% from $3.6B (2019-10-16 to 2020-03-17)
Mar 17, 2020 · RAUM change · derived
Michael Adam Kravetz (Coo & Cco) appeared on Schedule A of S•••• E•••• C••••••• L•
Oct 16, 2019 · Control person joined · fact
A•••••••• C••••••••• N••••• (Chief Compliance Officer) no longer on Schedule A of S•••• E•••• C••••••• L• (listed 2019-01-30, absent 2019-06-11)
Jun 11, 2019 · Control person left · inference
S•••• E•••• C••••••• L• reported RAUM $3.6B, up 84% from $2.0B (2018-03-29 to 2019-01-30)
Jan 30, 2019 · RAUM change · derived
A•••••••• C••••••••• N••••• (Chief Compliance Officer) appeared on Schedule A of S•••• E•••• C••••••• L•
Jan 30, 2019 · Control person joined · fact
S•••• E•••• C••••••• L• reported RAUM $2.0B, up 98% from $995.9M (2017-03-20 to 2018-03-29)
Mar 29, 2018 · RAUM change · derived
S•••• E•••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Mar 30, 2016 · Succession (Item 4) · fact
S•••• E•••• C••••••• L•• filed its initial SEC registration (Form ADV)
Mar 25, 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