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•••••••• •••••••• I••••••••• U•• L••

Former SEC-registered adviserNew York, New YorkCRD 290122SEC 801-111943IAPD
Latest filing Sep 28, 2017
First filing on the tape Sep 28, 2017 · 2 filings
RAUM
$407M
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
9
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$335M gross assets
History
2 filings and snapshots on the tape
RAUM$407M as of Sep 28, 2017
Sep 28, 2017$407M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 28, 2017
Sep 28, 20170 then
Employees (5.A)9 as of Sep 28, 2017
Sep 28, 20179 then
Private funds2 as of Sep 28, 2017
Sep 28, 20172 then
Practice profile
derived from the filing of Sep 28, 2017; 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
$136MderivedRAUM 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
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 businesses and institutions, 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
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
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
      • M••••••• M••••••• J••• · Co-Chief Investment Officercontrol
        since 09/2011 · owns less than 5%
      • M••••• M•••••• · General Counselcontrol
        since 07/2015 · owns less than 5%
      • N•••••• M•••• A•••••••• · Chairmancontrol
        since 09/2016 · owns less than 5%
      • S•••••• D••••• B•••••• · Vice Chairmancontrol
        since 10/2016 · owns less than 5%
      • S••••••• B••••••• D•••• · Chief Compliance Officercontrol
        since 04/2014 · owns less than 5%
      • S••••••• L•••• A•••••• · Chief Financial Officercontrol
        since 04/2014 · owns less than 5%
      • V•••••• J••••• W•••••• · Co-Chief Investment Officercontrol
        since 01/2016 · owns less than 5%
      • D••••••• I••• D•••• · Shareholdercontrol
        since 10/2013 · owns 25% to 50% of C•••••••• •••••••• I••••••••• P•• L••••••
      • D••••••• M••••••• G••••• · Shareholdercontrol
        since 10/2013 · owns 25% to 50% of C•••••••• •••••••• I••••••••• P•• L••••••
      • N•••••• M•••• A•••••••• · Shareholdercontrol
        since 10/2013 · owns 25% to 50% of C•••••••• •••••••• I••••••••• P•• L••••••
      • V•••••• J••••• W•••••• · Shareholdercontrol
        since 10/2013 · owns 25% to 50% of C•••••••• P•••••• (Investments) Pty L••••••
      Entity owners
      • C•••••••• •••••••• I••••••••• P•• L•••••• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • C•••••••• •••••••• I••••••••• U•• L•• filed its initial SEC registration (Form ADV)
        Sep 28, 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