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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SEC-registered adviser
S••••••••• S••••••••• I•••
Latest filing Mar 19, 2026
First filing on the tape Apr 4, 2012 · 34 filings
SEC status approved since Oct 1, 1992
RAUM
$930M
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
11
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
9
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$930M as of Mar 19, 2026
Apr 4, 2012$850M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 26, 20130 then
Employees (5.A)11 as of Mar 19, 2026
Mar 26, 201315 then
Private funds9 as of Mar 19, 2026
Apr 4, 201212 then
RAUM +11% over the last fiscal year+6.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; 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
- $116MderivedRAUM 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
- +11%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 vehicles, selection of other advisersreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$930M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• D••• F••• A• | Other Private Fund | $522M | 10 | Apr 4, 2012 |
| S••••••••• M••••• F••••••• | Other Private Fund | $435M | 8 | Mar 15, 2017 |
| O••••••• P••••••••• | Other Private Fund | $234M | 214 | Apr 4, 2012 |
| S••••••••• P•••••• P••••••••• I•• L• | Other Private Fund | $223M | 170 | Mar 31, 2020 |
| B••••••• P••••••• B••• | Other Private Fund | $126M | 105 | Apr 4, 2012 |
| S••••••••• D••• F••• B• L• | Other Private Fund | $64.9M | 47 | Apr 4, 2012 |
| S••••••••• S•••••• C••••• O••••••••• F••• L• | Hedge Fund | $45.8M | 43 | Apr 4, 2012 |
| B••••••• P••••••• A• L• | Other Private Fund | $24.6M | 32 | Apr 4, 2012 |
| D••••• S• P•••••••••no longer reported | Other Private Fund | $22.9M | 2 | Apr 4, 2012 |
| S••••••••• D••• T•••••• F••• L• | Other Private Fund | $19.3M | 66 | Apr 4, 2012 |
| S••••••••• L•••• S•••• F••• L•no longer reported | Other Private Fund | $5.2M | 13 | Apr 4, 2012 |
| S••••••••• D••• T•••••• F••• Q• L•no longer reported | Other Private Fund | $4.8M | 5 | Apr 4, 2012 |
| S••••••••• O••••••• F••• S•• L•• | Other Private Fund | $1.6M | 2 | Apr 4, 2012 |
| S••••••••• P•••••• P•••••••••no longer reported | Private Equity Fund | $148,797 | 32 | Apr 4, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••• M•••••• J•••••• · Presidentcontrolsince 04/1990 · owns 75% or more
- C••••••• K••••••• M•••••• · Chief Financial Officersince 09/2006 · owns less than 5%
- O•••••• T•••••• R•••••• · Chief Compliance Officersince 10/2016 · owns less than 5%
Related persons
Schedule D 7.A
- S••••••••• A••••••••• I• I•••pooled vehicle sponsorn
- S••••••••• A••••••••• I•• I•••pooled vehicle sponsorn
- S••••••••• A••••••••• I••• I•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- West Palm Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 9 to 8Aug 22, 2025 to Mar 19, 2026
- Advisory employees · 5 to 4Aug 22, 2025 to Mar 19, 2026
- Pooled vehicle clients · 9 to 8Aug 22, 2025 to Mar 19, 2026
- Assets in custody · $520M to $0Aug 22, 2025 to Mar 19, 2026
- Employees · 13 to 11Aug 22, 2025 to Mar 19, 2026
- Private funds · 10 to 9Aug 22, 2025 to Mar 19, 2026
- Discretionary RAUM · $841M to $930MAug 22, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $841M to $930MAug 22, 2025 to Mar 19, 2026
- RAUM · $841M to $930MAug 22, 2025 to Mar 19, 2026
- Financial planning clients · unset to Mar 21, 2025 to Jun 17, 2025
- Employees · 12 to 13Jul 9, 2024 to Mar 21, 2025
- Discretionary RAUM · $744M to $841MJul 9, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $744M to $841MJul 9, 2024 to Mar 21, 2025
- RAUM · $744M to $841MJul 9, 2024 to Mar 21, 2025
- Discretionary RAUM · $764M to $744MJan 24, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $764M to $744MJan 24, 2024 to Mar 27, 2024
- RAUM · $764M to $744MJan 24, 2024 to Mar 27, 2024
- Assets in custody · $603M to $520MOct 18, 2022 to Mar 29, 2023
- Employees · 13 to 12Oct 18, 2022 to Mar 29, 2023
- Discretionary RAUM · $769M to $764MOct 18, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $769M to $764MOct 18, 2022 to Mar 29, 2023
- RAUM · $769M to $764MOct 18, 2022 to Mar 29, 2023
- Advisory employees · 4 to 5Nov 1, 2021 to Mar 18, 2022
- Pooled vehicle clients · 8 to 9Nov 1, 2021 to Mar 18, 2022
- Assets in custody · $542M to $603MNov 1, 2021 to Mar 18, 2022
- Employees · 11 to 13Nov 1, 2021 to Mar 18, 2022
- Discretionary RAUM · $593M to $769MNov 1, 2021 to Mar 18, 2022
- Pooled vehicle RAUM · $593M to $769MNov 1, 2021 to Mar 18, 2022
- RAUM · $593M to $769MNov 1, 2021 to Mar 18, 2022
- Other offices · 0 to 1Mar 29, 2021 to Nov 1, 2021
- Accounts · 8 to 9Mar 31, 2020 to Mar 29, 2021
- Assets in custody · $757M to $542MMar 31, 2020 to Mar 29, 2021
- Employees · 12 to 11Mar 31, 2020 to Mar 29, 2021
- Discretionary RAUM · $558M to $593MMar 31, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $558M to $593MMar 31, 2020 to Mar 29, 2021
- RAUM · $558M to $593MMar 31, 2020 to Mar 29, 2021
- Accounts · 10 to 8Jun 27, 2019 to Mar 31, 2020
- Pooled vehicle clients · 10 to 8Jun 27, 2019 to Mar 31, 2020
- Private funds · 12 to 10Jun 27, 2019 to Mar 31, 2020
- Discretionary RAUM · $614M to $558MJun 27, 2019 to Mar 31, 2020
Signals
1 dated events
- S••••••••• S••••••••• I••• reported RAUM $768.8M, up 30% from $593.0M (2021-11-01 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- S••••••••• S••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 973-233-8800reportedpublic record, Form ADV, Mar 19, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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