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

I••••• P••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 289530SEC 801-114778websiteIAPD
Latest filing Mar 20, 2024
First filing on the tape Feb 1, 2019 · 8 filings
SEC status approved since Mar 11, 2019
RAUM
$270M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$270M gross assets
History
8 filings and snapshots on the tape
RAUM$270M as of Mar 20, 2024
Mar 20, 2020$577M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2024
Mar 20, 20200 then
Employees (5.A)3 as of Mar 20, 2024
Mar 20, 20205 then
Private funds1 as of Mar 20, 2024
Mar 20, 20201 then
RAUM +10% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2024; 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
$90.0MderivedRAUM 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
+10%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
$270M, 3 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)
  • 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$270M100%
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
$270M for 3 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
      I••••• M••••• F••• L•Hedge Fund$270M37Aug 14, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • H••• M••••• · Owner/Limited Partnercontrol
        since 01/2016 · owns 50% to 75%
      • H••• M••••• · Ownercontrol
        since 01/2016 · owns 75% or more of I••••• P••••••• G• L••
      • B••••••••• N••••• · Owner/Cco/Limited Partner
        since 01/2016 · owns 5% to 10%
      Entity owners
      • I••••• P••••••• G• L•• · Owner/General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • I••••• P••••••• F••• G• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $245M to $270M
        Mar 10, 2023 to Mar 20, 2024
      • Discretionary RAUM · $245M to $270M
        Mar 10, 2023 to Mar 20, 2024
      • Pooled vehicle RAUM · $245M to $270M
        Mar 10, 2023 to Mar 20, 2024
      • RAUM · $245M to $270M
        Mar 10, 2023 to Mar 20, 2024
      • Advisory employees · 3 to 2
        Mar 28, 2022 to Mar 10, 2023
      • Assets in custody · $332M to $245M
        Mar 28, 2022 to Mar 10, 2023
      • Employees · 4 to 3
        Mar 28, 2022 to Mar 10, 2023
      • Discretionary RAUM · $332M to $245M
        Mar 28, 2022 to Mar 10, 2023
      • Pooled vehicle RAUM · $332M to $245M
        Mar 28, 2022 to Mar 10, 2023
      • RAUM · $332M to $245M
        Mar 28, 2022 to Mar 10, 2023
      • Advisory employees · 4 to 3
        Mar 29, 2021 to Mar 28, 2022
      • Assets in custody · $703M to $332M
        Mar 29, 2021 to Mar 28, 2022
      • Employees · 7 to 4
        Mar 29, 2021 to Mar 28, 2022
      • Discretionary RAUM · $703M to $332M
        Mar 29, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $703M to $332M
        Mar 29, 2021 to Mar 28, 2022
      • RAUM · $703M to $332M
        Mar 29, 2021 to Mar 28, 2022
      • Advisory employees · 3 to 4
        Aug 11, 2020 to Mar 17, 2021
      • Assets in custody · $577M to $703M
        Aug 11, 2020 to Mar 17, 2021
      • Employees · 5 to 7
        Aug 11, 2020 to Mar 17, 2021
      • Discretionary RAUM · $577M to $703M
        Aug 11, 2020 to Mar 17, 2021
      • Pooled vehicle RAUM · $577M to $703M
        Aug 11, 2020 to Mar 17, 2021
      • RAUM · $577M to $703M
        Aug 11, 2020 to Mar 17, 2021
      • Assets in custody · $280M to $577M
        Feb 1, 2019 to Mar 20, 2020
      • Private funds · 2 to 1
        Feb 1, 2019 to Mar 20, 2020
      • Discretionary RAUM · $280M to $577M
        Feb 1, 2019 to Mar 20, 2020
      • Pooled vehicle RAUM · $280M to $577M
        Feb 1, 2019 to Mar 20, 2020
      • RAUM · $280M to $577M
        Feb 1, 2019 to Mar 20, 2020
      Signals
      4 dated events
      • I••••• P••••••• L• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $270.0M)
        Feb 3, 2025 · Left the SEC roster · derived
      • I••••• P••••••• L• reported RAUM $332.3M, down 53% from $703.2M (2021-03-29 to 2022-03-28)
        Mar 28, 2022 · RAUM change · derived
      • I••••• P••••••• L• reported RAUM $576.6M, up 106% from $279.7M (2019-02-01 to 2020-03-20)
        Mar 20, 2020 · RAUM change · derived
      • I••••• P••••••• L• filed its initial SEC registration (Form ADV)
        Feb 1, 2019 · 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