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

F••••• H••• A•••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 174323SEC 801-80812IAPD
Latest filing Jul 18, 2018
First filing on the tape Dec 23, 2014 · 8 filings
RAUM
$1.6B
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
89
45 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
$1.2B gross assets
History
8 filings and snapshots on the tape
RAUM$1.6B as of Mar 29, 2018
Mar 30, 2016$2.8B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 30, 20160 then
Employees (5.A)89 as of Mar 29, 2018
Mar 30, 201658 then
Private funds1 as of Mar 29, 2018
Mar 30, 20161 then
RAUM -5.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 18, 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
$227MderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-5.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
  • 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$1.2B77%
  • Corporations and businesses$374M23%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 3 clientsreported
Compensation
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
      F••••• H••• P••••••• M••••• F••• L•Hedge Fund$1.2B148Jun 8, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • K••••• S••••••• J•••••• · L•••••• Partner / Chief Executive Officercontrol
        since 10/2014 · owns 25% to 50%
      • R•••• T•••• E•••••• · Chief Risk Officercontrol
        since 10/2014 · owns less than 5%
      • S•••••• L••••• A• · Chief Compliance Officercontrol
        since 07/2018 · owns less than 5%
      • S••••• M••••••• B••••••• · Authorized Personcontrol
        since 07/2018 · owns less than 5%
      • F•••••••• B••••• P••• · Elected Managercontrol
        since 08/2014 · owns F of F••••• H••• A•••• M••••••••• L••
      • H••••••• R••••••• B•••• · Elected Managercontrol
        since 08/2014 · owns F of F••••• H••• A•••• M••••••••• L••
      • K••••• S••••••• J•••••• · Member/Elected Managercontrol
        since 08/2014 · owns 25% to 50% of F••••• H••• A•••• M••••••••• L••
      Entity owners
      • F••••• H••• A•••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      • L•• H•••••• L•• · L•••••• Partner
        direct · owns 50% to 75%
      • J•••••••• F•••••••• G•••• I••• · Member
        indirect · owns 75% or more of L•• H•••••• L•• · public reporting company
      • L•• H•••••• L•• · Member
        indirect · owns 50% to 75% of F••••• H••• A•••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Hong Kong, Hong Kong12 employees
      • Boston, MA9 employees
      • Singapore, Singapore6 employees
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 7
        Sep 29, 2017 to Mar 29, 2018
      • Advisory employees · 51 to 45
        Sep 29, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Sep 29, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Sep 29, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Sep 29, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Sep 29, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 6.0
        Sep 29, 2017 to Mar 29, 2018
      • Employees · 83 to 89
        Sep 29, 2017 to Mar 29, 2018
      • Other offices · unset to 3.0
        Sep 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.7B to $1.6B
        Sep 29, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        Sep 29, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        Sep 29, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        Sep 29, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1217078313.0
        Sep 29, 2017 to Mar 29, 2018
      • RAUM · $1.7B to $1.6B
        Sep 29, 2017 to Mar 29, 2018
      • Accounts · 3 to 6
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 33 to 51
        Mar 30, 2016 to Mar 31, 2017
      • Advisory activities · 1 to 2
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 58 to 83
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.8B to $1.7B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $2.8B to $1.7B
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 27 to 33
        Jun 8, 2015 to Mar 30, 2016
      • Employees · 47 to 58
        Jun 8, 2015 to Mar 30, 2016
      • Discretionary RAUM · $3.2B to $2.8B
        Jun 8, 2015 to Mar 30, 2016
      • RAUM · $3.2B to $2.8B
        Jun 8, 2015 to Mar 30, 2016
      • Accounts · 0 to 3
        Jan 2, 2015 to Jun 8, 2015
      • Advisory employees · 8 to 27
        Jan 2, 2015 to Jun 8, 2015
      • Assets in custody · unset to 0.0
        Jan 2, 2015 to Jun 8, 2015
      • Custody of client assets · false to true
        Jan 2, 2015 to Jun 8, 2015
      • Employees · 21 to 47
        Jan 2, 2015 to Jun 8, 2015
      • Private funds · unset to 1
        Jan 2, 2015 to Jun 8, 2015
      • Discretionary RAUM · $0 to $3.2B
        Jan 2, 2015 to Jun 8, 2015
      • RAUM · $0 to $3.2B
        Jan 2, 2015 to Jun 8, 2015
      • Business name · F••••• H••• A•••• M••••••••• L•• to F••••• H••• A•••• M••••••••• L•
        Dec 23, 2014 to Jan 2, 2015
      • Legal name · F••••• H••• A•••• M••••••••• L•• to F••••• H••• A•••• M••••••••• L•
        Dec 23, 2014 to Jan 2, 2015
      Signals
      1 dated events
      • F••••• H••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 23, 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