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

C•••••• D••••••••• A••••••••• P•••••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 281428SEC 801-107107IAPD
Latest filing Jun 1, 2022
First filing on the tape Dec 23, 2015 · 13 filings
RAUM
$525,367
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
85%
$445,587 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$525,367 as of Mar 29, 2022
Mar 30, 2016$50.0M then
HNW client RAUM$445,587 as of Mar 29, 2022
Mar 29, 2018$1.9M then
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 30, 20160 then
Employees (5.A)9 as of Mar 29, 2022
Mar 30, 20169 then
Private funds2 as of Mar 26, 2021
Mar 30, 20162 then
RAUM -63% over the last fiscal year-72% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 1, 2022; 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
$148,529derivedHNW RAUM over HNW clients
Average account
$87,561derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-63%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • 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
  • High-net-worth individuals$445,58785%
  • Corporations and businesses$79,78015%
Individual clients
n/areported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••••• D••••••••• A••••••••• P•••••••• L•••Hedge Fund$350,26813Dec 23, 2015
      C•••••• D••••••••• A••••••••• P•••••••• L•••Hedge Fund$343,48911Dec 23, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• T••• N•• · Directorcontrol
        since 03/2015 · owns less than 5%
      • P••••• E•••• N•• · Director And Shareholdercontrol
        since 03/2015 · owns 10% to 25%
      • S••••••••• L•••••••• N•• · Directorcontrol
        since 03/2015 · owns less than 5%
      • S•••••• J•••••••• M••• · Directorcontrol
        since 03/2015 · owns less than 5%
      • S••••••••• D••••• R••• · Directorcontrol
        since 03/2015 · owns less than 5%
      • T••••• E•••• N•• · Chief Compliance Officer And General Counselcontrol
        since 10/2021 · owns less than 5%
      Entity owners
      • K••• C•••••• C•••••• G•••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list C•••••• D••••••••• A••••••••• P•••••••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 6
        Oct 27, 2021 to Mar 29, 2022
      • Advisory activities · 3 to 1
        Oct 27, 2021 to Mar 29, 2022
      • Pooled vehicle clients · 2.0 to unset
        Oct 27, 2021 to Mar 29, 2022
      • Assets in custody · 693758.0 to unset
        Oct 27, 2021 to Mar 29, 2022
      • Custody of client assets · true to false
        Oct 27, 2021 to Mar 29, 2022
      • Private funds · 2 to unset
        Oct 27, 2021 to Mar 29, 2022
      • Discretionary RAUM · $693,758 to $0
        Oct 27, 2021 to Mar 29, 2022
      • HNW RAUM · $649,013 to $445,587
        Oct 27, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $745,573 to $525,367
        Oct 27, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · 693758.0 to unset
        Oct 27, 2021 to Mar 29, 2022
      • RAUM · $1.4M to $525,367
        Oct 27, 2021 to Mar 29, 2022
      • Corporate clients · 4 to 3
        Jun 30, 2020 to Mar 26, 2021
      • Assets in custody · $12.3M to $693,758
        Jun 30, 2020 to Mar 26, 2021
      • Discretionary RAUM · $12.3M to $693,758
        Jun 30, 2020 to Mar 26, 2021
      • HNW RAUM · $2.5M to $649,013
        Jun 30, 2020 to Mar 26, 2021
      • Non-discretionary RAUM · $4.0M to $745,573
        Jun 30, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $12.3M to $693,758
        Jun 30, 2020 to Mar 26, 2021
      • RAUM · $16.3M to $1.4M
        Jun 30, 2020 to Mar 26, 2021
      • Pooled vehicle clients · 1 to 2
        Mar 31, 2020 to Jun 30, 2020
      • Pooled vehicle RAUM · $5.3M to $12.3M
        Mar 31, 2020 to Jun 30, 2020
      • Assets in custody · $20.6M to $12.3M
        Mar 29, 2019 to Mar 31, 2020
      • Discretionary RAUM · $20.6M to $12.3M
        Mar 29, 2019 to Mar 31, 2020
      • HNW RAUM · $1.2M to $2.5M
        Mar 29, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $2.8M to $4.0M
        Mar 29, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $7.4M to $5.3M
        Mar 29, 2019 to Mar 31, 2020
      • RAUM · $23.4M to $16.3M
        Mar 29, 2019 to Mar 31, 2020
      • Accounts · 9 to 8
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 2 to 1
        Mar 29, 2018 to Mar 29, 2019
      • Assets in custody · $29.7M to $20.6M
        Mar 29, 2018 to Mar 29, 2019
      • Discretionary RAUM · $29.8M to $20.6M
        Mar 29, 2018 to Mar 29, 2019
      • HNW RAUM · $1.9M to $1.2M
        Mar 29, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $6.4M to $2.8M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $29.7M to $7.4M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $36.2M to $23.4M
        Mar 29, 2018 to Mar 29, 2019
      • Accounts · 8 to 9
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 5 to 6
        Mar 31, 2017 to Mar 29, 2018
      • Corporate clients · unset to 4.0
        Mar 31, 2017 to Mar 29, 2018
      • HNW clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $43.4M to $29.7M
        Mar 31, 2017 to Mar 29, 2018
      Signals
      4 dated events
      • Nmn Simona Cohen (Chief Financial Officer) no longer on Schedule A of C•••••• D••••••••• A••••••••• P•••••••• M••••••••• L••• (listed 2022-03-29, absent 2022-06-01)
        Jun 1, 2022 · Control person left · inference
      • Nmn Adi Birk (Chief Compliance Officer And General Counsel) no longer on Schedule A of C•••••• D••••••••• A••••••••• P•••••••• M••••••••• L••• (listed 2021-03-26, absent 2021-10-27)
        Oct 27, 2021 · Control person left · inference
      • Eyal Tenne (Chief Compliance Officer And General Counsel) appeared on Schedule A of C•••••• D••••••••• A••••••••• P•••••••• M••••••••• L•••
        Oct 27, 2021 · Control person joined · fact
      • C•••••• D••••••••• A••••••••• P•••••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Dec 23, 2015 · 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