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•••••••• P••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 287646SEC 801-110195IAPD
Latest filing Mar 29, 2018
First filing on the tape Mar 14, 2017 · 4 filings
RAUM
$169M
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
11
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$169M as of Mar 29, 2018
Jul 5, 2017$43.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 14, 20170 then
Employees (5.A)11 as of Mar 29, 2018
Mar 14, 201710 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 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
$56.3MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individuals, 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)
  • 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)
  • 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
  • Corporations and businesses$134M80%
  • Pooled investment vehicles$34.4M20%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• A••• N•• · Chief Compliance Officercontrol
        since 01/2017 · owns less than 5%
      • C••••• S•••••• N•• · Chief Financial Officercontrol
        since 01/2017 · owns less than 5%
      • D••••••• B••••• N•• · Chief Trading Officer, Director, Membercontrol
        since 01/2017 · owns 50% to 75%
      • K•••••• T••• N•• · Directorcontrol
        since 01/2017 · owns less than 5%
      • L••••••••• A•••• N•• · Executive Officercontrol
        since 01/2017 · owns less than 5%
      Entity owners
      • C•••••• D••••••••• A••••••••• P•••••••• G• C•••••• L•• · Shareholder, Member
        direct · owns 50% to 75%
      • K••• C•••••• G•••• L••• · Shareholder, Member
        indirect · owns 25% to 50% of C•••••• D••••••••• A••••••••• P•••••••• G• C•••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Tel Aviv, Israel2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 3
        Jul 5, 2017 to Mar 29, 2018
      • Advisory activities · 1 to 2
        Jul 5, 2017 to Mar 29, 2018
      • Corporate clients · unset to 2.0
        Jul 5, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Jul 5, 2017 to Mar 29, 2018
      • Employees · 10 to 11
        Jul 5, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Jul 5, 2017 to Mar 29, 2018
      • Discretionary RAUM · $43.7M to $169M
        Jul 5, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 34419295.0
        Jul 5, 2017 to Mar 29, 2018
      • RAUM · $43.7M to $169M
        Jul 5, 2017 to Mar 29, 2018
      • Accounts · unset to 2.0
        Mar 16, 2017 to Jul 5, 2017
      • Discretionary RAUM · unset to 43688207.0
        Mar 16, 2017 to Jul 5, 2017
      • Non-discretionary RAUM · unset to 0.0
        Mar 16, 2017 to Jul 5, 2017
      • RAUM · unset to 43688207.0
        Mar 16, 2017 to Jul 5, 2017
      Signals
      1 dated events
      • C•••••••• P••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 14, 2017 · 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