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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
D•••••••• C•••••• M••••••••• L•
Latest filing Jan 17, 2018
First filing on the tape Nov 6, 2015 · 12 filings
RAUM
$4.9M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$2.3M gross assets
History
12 filings and snapshots on the tape
RAUM$568M as of Mar 30, 2017
Mar 29, 2016$614M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 29, 20160 then
Employees (5.A)10 as of Mar 30, 2017
Mar 29, 201611 then
Private funds7 as of Mar 30, 2017
Mar 29, 20166 then
RAUM -99% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 17, 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
- $4.9MderivedRAUM 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
- -7.5%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.9M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••• R•••• L• | Real Estate Fund | $28.2M | 22 | Mar 30, 2017 |
| D•••••••• E••••••••• F••• L• | Real Estate Fund | $2.3M | 12 | Oct 13, 2015 |
| T•••••••• P•••••••• L• | Hedge Fund | $1.6M | 6 | Nov 6, 2015 |
Owners and control persons
Schedule A and B, latest filing
- F••••••••• J•••• A•••• · General Partnercontrolsince 10/2015 · owns 75% or more
- K••••••• L••••• A••• · Chief Financial Officercontrolsince 12/2015 · owns less than 5%
- M•••••• B••••••••• · Chief Compliance Officercontrolsince 10/2015 · owns less than 5%
Related persons
Schedule D 7.A
- D•••••••• E••••••••• ••• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 1Apr 28, 2017 to Jan 16, 2018
- Advisory employees · 4 to 1Apr 28, 2017 to Jan 16, 2018
- Advisory activities · 2 to 1Apr 28, 2017 to Jan 16, 2018
- Charity clients · unset to 0.0Apr 28, 2017 to Jan 16, 2018
- Corporate clients · unset to 0.0Apr 28, 2017 to Jan 16, 2018
- HNW clients · unset to 0.0Apr 28, 2017 to Jan 16, 2018
- Individual clients · unset to 0.0Apr 28, 2017 to Jan 16, 2018
- Pension plan clients · unset to 0.0Apr 28, 2017 to Jan 16, 2018
- Pooled vehicle clients · unset to 1.0Apr 28, 2017 to Jan 16, 2018
- Employees · 10 to 3Apr 28, 2017 to Jan 16, 2018
- HQ city · NORWALK to NEW YORKApr 28, 2017 to Jan 16, 2018
- HQ state · CT to NYApr 28, 2017 to Jan 16, 2018
- Other offices · unset to 0.0Apr 28, 2017 to Jan 16, 2018
- Private funds · 7 to 1Apr 28, 2017 to Jan 16, 2018
- Discretionary RAUM · $568M to $4.9MApr 28, 2017 to Jan 16, 2018
- HNW RAUM · unset to 0.0Apr 28, 2017 to Jan 16, 2018
- Individual RAUM · unset to 0.0Apr 28, 2017 to Jan 16, 2018
- Pension RAUM · unset to 0.0Apr 28, 2017 to Jan 16, 2018
- Pooled vehicle RAUM · unset to 4911351.0Apr 28, 2017 to Jan 16, 2018
- RAUM · $568M to $4.9MApr 28, 2017 to Jan 16, 2018
- Related bank · true to falseApr 28, 2017 to Jan 16, 2018
- Accounts · 14 to 7Feb 2, 2017 to Mar 30, 2017
- Advisory employees · 5 to 4Feb 2, 2017 to Mar 30, 2017
- Advisory activities · 3 to 2Feb 2, 2017 to Mar 30, 2017
- Employees · 11 to 10Feb 2, 2017 to Mar 30, 2017
- Private funds · 6 to 7Feb 2, 2017 to Mar 30, 2017
- Discretionary RAUM · $656M to $568MFeb 2, 2017 to Mar 30, 2017
- RAUM · $656M to $568MFeb 2, 2017 to Mar 30, 2017
- Discretionary RAUM · $614M to $656MMar 29, 2016 to May 5, 2016
- RAUM · $614M to $656MMar 29, 2016 to May 5, 2016
- Accounts · 13 to 14Jan 15, 2016 to Mar 29, 2016
- Advisory employees · 6 to 5Jan 15, 2016 to Mar 29, 2016
- Employees · 13 to 11Jan 15, 2016 to Mar 29, 2016
- HQ city · NEW YORK to NORWALKJan 15, 2016 to Mar 29, 2016
- HQ state · NY to CTJan 15, 2016 to Mar 29, 2016
- Discretionary RAUM · $946M to $614MJan 15, 2016 to Mar 29, 2016
- RAUM · $946M to $614MJan 15, 2016 to Mar 29, 2016
- Employees · 14 to 13Nov 12, 2015 to Dec 2, 2015
- Succession · true to falseNov 6, 2015 to Nov 12, 2015
Signals
3 dated events
- D•••••••• C•••••• M••••••••• L• reported RAUM $4.9M, down 99% from $568.2M (2017-04-28 to 2018-01-16)Jan 16, 2018 · RAUM change · derived
- D•••••••• C•••••• M••••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 6, 2015 · Succession (Item 4) · fact
- D•••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 6, 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
Across the graphs
D•••••••• C•••••• M••••••••• L• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…