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

W••••••••• A••••••••• I•••

Former SEC-registered adviserPlainsboro, New JerseyCRD 174159SEC 801-80840IAPD
Latest filing Mar 30, 2018
First filing on the tape Jan 2, 2015 · 9 filings
RAUM
$308M
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
50
32 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$216M gross assets
History
9 filings and snapshots on the tape
RAUM$308M as of Mar 30, 2018
Mar 30, 2016$660M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 30, 20160 then
Employees (5.A)50 as of Mar 30, 2018
Mar 30, 201639 then
Private funds3 as of Mar 30, 2018
Mar 30, 20162 then
RAUM -67% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
$76.9MderivedRAUM 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
-67%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
Custody
$216M, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$216M70%
  • Investment companies$91.8M30%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$216M 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•• P••••• F••• •••• L•Hedge Fund$150M2Mar 30, 2018
      W•• F••• L•••Hedge Fund$31.1M11Mar 31, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• E•••••• K•••••• · Chief Operations Officer Of Victory Asset Inc. (Relying Adviser)control
        since 03/2013 · owns less than 5%
      • C••••• S•••••• R• · Chief Financial Officercontrol
        since 10/1996 · owns less than 5%
      • F•••• R••••••• G• · President Of Victory Asset Inc. (Relying Adviser)control
        since 01/1996 · owns less than 5%
      • G••• M••••••• Y•• · Executive Directorcontrol
        since 09/1992 · owns less than 5%
      • K••••• J•••••• A• · Chief Compliance Officer And Chief Legal Officercontrol
        since 09/2005 · owns less than 5%
      • L•••••• V•••••••• M• · Chief Administrative Officercontrol
        since 09/2000 · owns less than 5%
      • Y•••• P•••••• L•• · Chief Investment Officer & Chairmancontrol
        since 09/1992 · owns 75% or more
      • Y••••••••• V•••••• K••••• · Chief Risk Officercontrol
        since 07/2016 · owns less than 5%
      • Y•••• J•••• C• · Presidentcontrol
        since 01/2017 · owns less than 5%
      • M••••••••• F••••• C• · Director Of Global Macro Trading
        since 07/2011 · owns less than 5%
      Related persons
      Schedule D 7.A
      • W••••••••• D••••••••• I•••
        bankpooled vehicle sponsorn
      • W••••••••• E••••• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • Jersey City, NJ1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 4
        Jul 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 3.0
        Jul 31, 2017 to Mar 30, 2018
      • Assets in custody · $711M to $216M
        Jul 31, 2017 to Mar 30, 2018
      • Employees · 46 to 50
        Jul 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Jul 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $929M to $308M
        Jul 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 215879873.0
        Jul 31, 2017 to Mar 30, 2018
      • RAUM · $929M to $308M
        Jul 31, 2017 to Mar 30, 2018
      • Accounts · 5 to 7
        Jan 26, 2017 to Mar 31, 2017
      • Advisory employees · 28 to 32
        Jan 26, 2017 to Mar 31, 2017
      • Assets in custody · $544M to $711M
        Jan 26, 2017 to Mar 31, 2017
      • Employees · 39 to 46
        Jan 26, 2017 to Mar 31, 2017
      • Private funds · 2 to 3
        Jan 26, 2017 to Mar 31, 2017
      • Discretionary RAUM · $660M to $929M
        Jan 26, 2017 to Mar 31, 2017
      • RAUM · $660M to $929M
        Jan 26, 2017 to Mar 31, 2017
      • Accounts · 3 to 5
        Mar 24, 2015 to Mar 30, 2016
      • Advisory employees · 13 to 28
        Mar 24, 2015 to Mar 30, 2016
      • Advisory activities · 4 to 5
        Mar 24, 2015 to Mar 30, 2016
      • Assets in custody · $74.9M to $544M
        Mar 24, 2015 to Mar 30, 2016
      • Employees · 29 to 39
        Mar 24, 2015 to Mar 30, 2016
      • Financial planning clients · unset to 0
        Mar 24, 2015 to Mar 30, 2016
      • Discretionary RAUM · $78.6M to $660M
        Mar 24, 2015 to Mar 30, 2016
      • RAUM · $78.6M to $660M
        Mar 24, 2015 to Mar 30, 2016
      Signals
      2 dated events
      • W••••••••• A••••••••• I••• reported RAUM $307.7M, down 67% from $928.8M (2017-07-31 to 2018-03-30)
        Mar 30, 2018 · ria raum c•••ge · derived
      • W••••••••• A••••••••• I••• filed its initial SEC registration (Form ADV)
        Jan 2, 2015 · 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