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

G••••••••• • C••

Former SEC-registered adviserNew York, New YorkCRD 2016SEC 801-9661IAPD
Latest filing Nov 15, 2012
First filing on the tape Nov 10, 2011 · 5 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
89%
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
39
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$84.1M gross assets
History
5 filings and snapshots on the tape
RAUM$1.1B as of Nov 15, 2012
Nov 10, 2011$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Nov 15, 2012
Nov 10, 20110 then
Employees (5.A): 39
Private funds5 as of Nov 15, 2012
Nov 10, 20116 then
RAUM +3.8% over the last fiscal yearIARs 0 to 7
Practice profile
derived from the filing of Nov 15, 2012; every figure names its basis
RAUM per advisor
$153MderivedRAUM 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
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.6derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.8%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
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
  • is a broker-dealer (6.A.1)
  • 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)
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
509reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••••• F••• 2••• L••Private Equity Fund$35.4M74Nov 10, 2011
      G••••••••• F••• L•Private Equity Fund$20.6M43Nov 10, 2011
      C•••• F••• L•Private Equity Fund$12.6M38Nov 10, 2011
      J•••••• F••• L••Private Equity Fund$11.7M63Nov 10, 2011
      T•••• F••• L••Private Equity Fund$3.8M19Nov 10, 2011
      D••••• F•••Liquidity Fund$257,8978Nov 10, 2011
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• J•••• M••••• · General Partnercontrol
        since 07/1997 · owns less than 5%
      • G••••••••• S•••• B•••• · Limited Partnercontrol
        since 03/2001 · owns 5% to 10%
      • G••••••••• S••• M••••• · General Partnercontrol
        since 02/1961 · owns 5% to 10%
      • A••••••••• L•••• C•••••• · Chief Compliance Officer, Srop & Crop
        since 08/1997 · owns less than 5%
      • G••••• S••••• B•••• · Finop, Cfo
        since 01/1983 · owns less than 5%
      • P•••• N•••• G••••••••• · Limited Partner
        since 04/1974 · owns 10% to 25%
      Entity owners
      • S•••• G••••••••• 2••• G••• · Limited Partner
        direct · owns 5% to 10%
      • S•••• G••••••••• 2••• G••• · Limited Partner
        direct · owns 5% to 10%
      • S•••• G••••••••• 2••• G••• · Limited Partner
        direct · owns 5% to 10%
      • S•••• G••••••••• 3• Y•• G•••••• R••••••• A•••••• T•••• D•• 3••••••• · Limited Partner
        direct · owns less than 5%
      • S•••• G••••••••• 4• Y•• G•••••• R••••••• A•••••• T•••• D•• 3••••••• · Limited Partner
        direct · owns 10% to 25%
      • S•••• G••••••••• 5• Y•• G•••••• R••••••• A•••••• T•••• D•• 3••••••• · Limited Partner
        direct · owns less than 5%
      • S••• G••••••••• 2••• G••• · Limited Partner
        direct · owns 5% to 10%
      • S••• G••••••••• 2••• G••• · Limited Partner
        direct · owns 5% to 10%
      • S••• G••••••••• 2••• G••• · Limited Partner
        direct · owns less than 5%
      • S••• G••••••••• 3• Y•• G•••••• A•••••• T••••• D•• 3••••••• · Limited Partner
        direct · owns less than 5%
      • S••• G••••••••• 4• Y•• G•••••• R••••••• A•••••• T••••• D•• 3••••••• · Limited Partner
        direct · owns 5% to 10%
      • S••• G••••••••• 5• Y•• G•••••• R••••••• A•••••• T••••• D•• 3••••••• · Limited Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 520 to 509
        Jun 14, 2012 to Nov 15, 2012
      • Advisory employees · unset to 8.0
        Jun 14, 2012 to Nov 15, 2012
      • BD registered reps · unset to 27.0
        Jun 14, 2012 to Nov 15, 2012
      • Employees · unset to 39.0
        Jun 14, 2012 to Nov 15, 2012
      • State-registered IARs · 0 to 7
        Jun 14, 2012 to Nov 15, 2012
      • Discretionary RAUM · $918M to $946M
        Jun 14, 2012 to Nov 15, 2012
      • Non-discretionary RAUM · $114M to $123M
        Jun 14, 2012 to Nov 15, 2012
      • RAUM · $1.0B to $1.1B
        Jun 14, 2012 to Nov 15, 2012
      • Accounts · 547 to 520
        Nov 14, 2011 to Jun 14, 2012
      • Private funds · 6 to 5
        Nov 14, 2011 to Jun 14, 2012
      • Discretionary RAUM · $915M to $918M
        Nov 14, 2011 to Jun 14, 2012
      • Non-discretionary RAUM · $115M to $114M
        Nov 14, 2011 to Jun 14, 2012
      • RAUM · $1.0B to $1.0B
        Nov 14, 2011 to Jun 14, 2012
      Signals
      No event on the tape.
      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