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••••• R••• A••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 283476SEC 801-107741IAPD
Latest filing Mar 27, 2020
First filing on the tape Apr 20, 2016 · 10 filings
RAUM
$184M
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
2
$184M gross assets
History
10 filings and snapshots on the tape
RAUM$184M as of Mar 27, 2020
Mar 27, 2017$384M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 27, 20170 then
Employees (5.A)3 as of Mar 27, 2020
Mar 27, 20176 then
Private funds2 as of Mar 27, 2020
Mar 27, 20173 then
RAUM -62% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2020; 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
$30.7MderivedRAUM 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
-62%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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$184M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••• R••• O••••••••• M••••• F••• L•••Hedge Fund$107M7Aug 9, 2016
      C• A••••••••• L••no longer reportedHedge Fund$107M2Aug 9, 2016
      C••••• R••• P••••••• M••••• F••• L••Hedge Fund$77.3M12Aug 9, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• E••••• I••• · Limited Partnercontrol
        since 04/2016 · owns 75% or more
      • A••••••••• E••••• I••• · Managing Membercontrol
        since 04/2016 · owns 75% or more of C••••• R••• A••••••• G•• L••
      • B••••••• C••••••••• A•• · Chief Financial Officer
        since 04/2016 · owns less than 5%
      Entity owners
      • C••••• R••• A••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C••••• R••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 1
        Mar 22, 2019 to Mar 27, 2020
      • Employees · 6 to 3
        Mar 22, 2019 to Mar 27, 2020
      • Discretionary RAUM · $487M to $184M
        Mar 22, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $487M to $184M
        Mar 22, 2019 to Mar 27, 2020
      • RAUM · $487M to $184M
        Mar 22, 2019 to Mar 27, 2020
      • Accounts · 7 to 6
        Mar 30, 2018 to Mar 22, 2019
      • Advisory activities · 2 to 1
        Mar 30, 2018 to Mar 22, 2019
      • Pooled vehicle clients · 7 to 6
        Mar 30, 2018 to Mar 22, 2019
      • Private funds · 3 to 2
        Mar 30, 2018 to Mar 22, 2019
      • Discretionary RAUM · $452M to $487M
        Mar 30, 2018 to Mar 22, 2019
      • Pooled vehicle RAUM · $452M to $487M
        Mar 30, 2018 to Mar 22, 2019
      • RAUM · $452M to $487M
        Mar 30, 2018 to Mar 22, 2019
      • Related adviser · true to false
        Mar 30, 2018 to Mar 22, 2019
      • Pooled vehicle clients · unset to 7.0
        Apr 27, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Apr 27, 2017 to Mar 30, 2018
      • Discretionary RAUM · $384M to $452M
        Apr 27, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 451680180.0
        Apr 27, 2017 to Mar 30, 2018
      • RAUM · $384M to $452M
        Apr 27, 2017 to Mar 30, 2018
      • Advisory employees · 6 to 4
        Oct 19, 2016 to Mar 27, 2017
      • Employees · 8 to 6
        Oct 19, 2016 to Mar 27, 2017
      • Discretionary RAUM · $224M to $384M
        Oct 19, 2016 to Mar 27, 2017
      • RAUM · $224M to $384M
        Oct 19, 2016 to Mar 27, 2017
      • Accounts · 0 to 7
        Apr 22, 2016 to Aug 9, 2016
      • Advisory employees · 2 to 6
        Apr 22, 2016 to Aug 9, 2016
      • Assets in custody · unset to 0.0
        Apr 22, 2016 to Aug 9, 2016
      • Custody of client assets · false to true
        Apr 22, 2016 to Aug 9, 2016
      • Employees · 3 to 8
        Apr 22, 2016 to Aug 9, 2016
      • Private funds · unset to 3
        Apr 22, 2016 to Aug 9, 2016
      • Discretionary RAUM · $0 to $224M
        Apr 22, 2016 to Aug 9, 2016
      • RAUM · $0 to $224M
        Apr 22, 2016 to Aug 9, 2016
      Signals
      2 dated events
      • C••••• R••• A••••••• L• reported RAUM $184.5M, down 62% from $487.3M (2019-03-22 to 2020-03-27)
        Mar 27, 2020 · RAUM change · derived
      • C••••• R••• A••••••• L• filed its initial SEC registration (Form ADV)
        Apr 20, 2016 · 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