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

R•• C•••••• P••••••• L•

Former SEC-registered adviserBoston, MassachusettsCRD 281480SEC 801-107785IAPD
Latest filing Aug 2, 2018
First filing on the tape Apr 28, 2016 · 12 filings
RAUM
$289M
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$289M gross assets
History
12 filings and snapshots on the tape
RAUM$289M as of Mar 6, 2018
Feb 20, 2017$380M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2018
Feb 20, 20170 then
Employees (5.A)9 as of Mar 6, 2018
Feb 20, 201710 then
Private funds1 as of Mar 6, 2018
Feb 20, 20171 then
RAUM -24% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 2, 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
$96.2MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-24%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 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
  • 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)
  • 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$289M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•• C•••••• P••••••• M••••• F••• L•Hedge Fund$123M6Oct 1, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• J•••• C•••••••• · Limited Partner / Principalcontrol
        since 08/2015 · owns 25% to 50%
      • R•••• S••••••• B•••••• · Limited Partner / Principalcontrol
        since 08/2015 · owns 25% to 50%
      • D••••••• J•••• C•••••••• · Limited Partnercontrol
        since 08/2015 · owns 25% to 50% of R•• C•••••• P••••••• G• L•
      • D••••••• J•••• C•••••••• · Limited Partnercontrol
        since 08/2015 · owns 50% to 75% of R•• C•••••• P••••••• L••
      • R•••• S••••••• B•••••• · Limited Partnercontrol
        since 08/2015 · owns 50% to 75% of R•• C•••••• P••••••• L••
      • R•••• S••••••• B•••••• · Limited Partnercontrol
        since 08/2015 · owns 25% to 50% of R•• C•••••• P••••••• G• L•
      • W•••••• R•••••• •••• · Cfo/Cco
        since 12/2017 · owns less than 5%
      • Y•••••• J••••• A••••• · Limited Partner / Applications Designer
        since 08/2015 · owns 5% to 10%
      Entity owners
      • R•• C•••••• P••••••• L•• · General Partner
        indirect · owns F of R•• C•••••• P••••••• G• L•
      • R•• C•••••• P••••••• G• L• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • R•• C•••••• P••••••• G• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 8 to 9
        Dec 19, 2017 to Mar 6, 2018
      • Discretionary RAUM · $380M to $289M
        Dec 19, 2017 to Mar 6, 2018
      • Pooled vehicle RAUM · $380M to $289M
        Dec 19, 2017 to Mar 6, 2018
      • RAUM · $380M to $289M
        Dec 19, 2017 to Mar 6, 2018
      • Pooled vehicle clients · unset to 3.0
        May 3, 2017 to Nov 22, 2017
      • Employees · 10 to 8
        May 3, 2017 to Nov 22, 2017
      • Other offices · unset to 0.0
        May 3, 2017 to Nov 22, 2017
      • Pooled vehicle RAUM · unset to 379736621.0
        May 3, 2017 to Nov 22, 2017
      • Related adviser · true to false
        May 3, 2017 to Nov 22, 2017
      • Advisory employees · 4 to 5
        May 18, 2016 to Feb 20, 2017
      • Employees · 9 to 10
        May 18, 2016 to Feb 20, 2017
      • Discretionary RAUM · $417M to $380M
        May 18, 2016 to Feb 20, 2017
      • RAUM · $417M to $380M
        May 18, 2016 to Feb 20, 2017
      • Private funds · 2 to 1
        Apr 28, 2016 to Apr 28, 2016
      Signals
      1 dated events
      • R•• C•••••• P••••••• L• filed its initial SEC registration (Form ADV)
        Apr 28, 2016 · 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