DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•••• M••••••••• L••

Former SEC-registered adviserWestport, ConnecticutCRD 283954SEC 801-107881IAPD

Latest filing Mar 26, 2020

First filing on the tape May 18, 2016 · 10 filings

RAUM

$3.4B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$3.4B gross assets

History

10 filings and snapshots on the tape

RAUM$3.4B as of Mar 26, 2020

Mar 22, 2017$7.0B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2020

Mar 22, 20170 then

Employees (5.A)7 as of Mar 26, 2020

Mar 22, 20174 then

Private funds1 as of Mar 26, 2020

Mar 22, 20171 then

RAUM -61% over the last fiscal year-21% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 26, 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: $3.4BderivedRAUM 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: -61%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $111M, 1 clientsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$3.4B100%

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: $111M for 1 clientsreported
Compensation: fixed, 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 departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R••••••• V•••• T•••••• F••• L••	Hedge Fund	$3.4B	5	Jul 6, 2016

Owners and control persons

Schedule A and B, latest filing

F•••• A••••• Y•• M•• · Directorcontrol
since 03/2016 · owns less than 5%
S••• S••••••• P•••••••• · Directorcontrol
since 03/2016 · owns less than 5%
Z••••• H•••••• •••• · Directorcontrol
since 03/2016 · owns less than 5%
Z•••• J•• J•••• · Chief Compliance Officercontrol
since 05/2017 · owns less than 5%
S••• S••••••• P•••••••• · Managing Partnercontrol
since 03/2016 · owns 50% to 75% of S•• C•••••• M••••••••• L••
Z•••• J•• J•••• · Partnercontrol
since 03/2016 · owns 25% to 50% of S•• C•••••• M••••••••• L••

Entity owners

S••• P•••• H••••••• L•••••• · Managing Member
direct · owns 50% to 75%
S•• C•••••• M••••••••• L•• · Member
direct · owns 25% to 50%
C•••• C•••••• H••••••• L•••••• · Owner
indirect · owns 75% or more of T••••••• S••• Holding L••••••
T••••••• S••• H••••••• L•••••• · Owner
indirect · owns 75% or more of S••• P•••• H••••••• L••••••

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $65.0M to $111M
Jan 23, 2020 to Mar 26, 2020
Discretionary RAUM · $8.8B to $3.4B
Jan 23, 2020 to Mar 26, 2020
Pooled vehicle RAUM · $8.8B to $3.4B
Jan 23, 2020 to Mar 26, 2020
RAUM · $8.8B to $3.4B
Jan 23, 2020 to Mar 26, 2020
Employees · 6 to 7
Mar 28, 2019 to Jan 23, 2020
Assets in custody · $50.0M to $65.0M
Mar 23, 2018 to Mar 28, 2019
Employees · 5 to 6
Mar 23, 2018 to Mar 28, 2019
Discretionary RAUM · $13B to $8.8B
Mar 23, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $13B to $8.8B
Mar 23, 2018 to Mar 28, 2019
RAUM · $13B to $8.8B
Mar 23, 2018 to Mar 28, 2019
Charity clients · unset to 0.0
Jun 13, 2017 to Mar 23, 2018
Corporate clients · unset to 0.0
Jun 13, 2017 to Mar 23, 2018
HNW clients · unset to 0.0
Jun 13, 2017 to Mar 23, 2018
Individual clients · unset to 0.0
Jun 13, 2017 to Mar 23, 2018
Pension plan clients · unset to 0.0
Jun 13, 2017 to Mar 23, 2018
Pooled vehicle clients · unset to 1.0
Jun 13, 2017 to Mar 23, 2018
Assets in custody · $50.6M to $50.0M
Jun 13, 2017 to Mar 23, 2018
Other offices · unset to 0.0
Jun 13, 2017 to Mar 23, 2018
Discretionary RAUM · $7.2B to $13B
Jun 13, 2017 to Mar 23, 2018
Pooled vehicle RAUM · unset to 13196502020.0
Jun 13, 2017 to Mar 23, 2018
RAUM · $7.2B to $13B
Jun 13, 2017 to Mar 23, 2018
Related adviser · true to false
Jun 13, 2017 to Mar 23, 2018
Employees · 4 to 5
May 10, 2017 to Jun 13, 2017
HQ city · NORWALK to WESTPORT
May 10, 2017 to Jun 13, 2017
Assets in custody · $53.8M to $50.6M
Mar 22, 2017 to May 10, 2017
Discretionary RAUM · $7.0B to $7.2B
Mar 22, 2017 to May 10, 2017
RAUM · $7.0B to $7.2B
Mar 22, 2017 to May 10, 2017
Assets in custody · $0 to $53.8M
Jul 6, 2016 to Mar 22, 2017
Discretionary RAUM · $50.0M to $7.0B
Jul 6, 2016 to Mar 22, 2017
RAUM · $50.0M to $7.0B
Jul 6, 2016 to Mar 22, 2017
Accounts · unset to 1.0
Jun 8, 2016 to Jul 6, 2016
Assets in custody · unset to 0.0
Jun 8, 2016 to Jul 6, 2016
Custody of client assets · false to true
Jun 8, 2016 to Jul 6, 2016
Private funds · unset to 1
Jun 8, 2016 to Jul 6, 2016
Discretionary RAUM · unset to 50000000.0
Jun 8, 2016 to Jul 6, 2016
Non-discretionary RAUM · unset to 0.0
Jun 8, 2016 to Jul 6, 2016
RAUM · unset to 50000000.0
Jun 8, 2016 to Jul 6, 2016

Signals

4 dated events

••• Locked
Mar 26, 2020 · RAUM change · derived
••• Locked
Mar 28, 2019 · RAUM change · derived
••• Locked
Mar 23, 2018 · RAUM change · derived
••• Locked
May 18, 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