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

A••••••• A••••••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 291989SEC 801-112530IAPD
Latest filing Mar 31, 2020
First filing on the tape Jan 29, 2018 · 8 filings
RAUM
$561M
reported, Item 5.F
Discretionary
91%
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
$450M gross assets
History
8 filings and snapshots on the tape
RAUM$561M as of Mar 31, 2020
Apr 2, 2019$200M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2020
Apr 2, 20190 then
Employees (5.A)0 as of Mar 31, 2020
Apr 2, 20190 then
Private funds9 as of Mar 31, 2020
Apr 2, 20194 then
RAUM +180% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$62.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
91%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
+180%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$561M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••• B••••••••• R••• E••••• P••••••• I• F••••• F••• L•Real Estate Fund$179M237Mar 31, 2020
      A•••••• K•• G••••• I••••••••• I•••••••• I•• O•••••• F••••• F•••• L•••Private Equity Fund$102M109Jul 13, 2018
      A•••••• C•••••• D••••• A••••••••• O••••••••• F••••• F••• L•••Private Equity Fund$101M104Mar 31, 2020
      A••••••• P•••• T••••••• O••••••••• O•••••• A••••• F••• L•••Hedge Fund$18.7M35Jul 13, 2018
      S••• P••• M••••••••• O•••••• F••• L•Hedge Fund$16.6M44Mar 31, 2020
      S••• P••• M••••••••• O••••••• F••• L•Hedge Fund$16.5M63Mar 31, 2020
      A••••••• P•••• T••••••• O••••••••• O••••••• A••••• F•••• L•••Hedge Fund$12.8M53Apr 2, 2019
      A••••••• S••••• A••••• F••• I• •••• L••Private Equity Fund$4.0M14Jul 13, 2018
      V•• 2••• L•••Venture Capital Fund$024Mar 31, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• A•••••• A••••• · Chief Technology Officercontrol
        since 05/2017 · owns less than 5%
      • W••••••••• J••••• D•••• · Chief Executive Officercontrol
        since 05/2017 · owns less than 5%
      • G••••••••• J••••••• W•••• · Shareholdercontrol
        since 04/2009 · owns 25% to 50% of A••••••• C•••••• P••••••• I• G• ••••••••• L••
      • Y••••• S•••••• L••••••• · Chief Compliance Officer
        since 05/2017 · owns less than 5%
      Entity owners
      • A•••• L•••••• M••••••••• I• I••• · Equity Owner
        direct · owns 75% or more
      • A••••••• H•••••••• I••• · Member
        direct · owns 75% or more
      • A•••• L•••••• H••••••• L•• · Shareholder
        indirect · owns 25% to 50% of A••••••• H•••••••• I•••
      • A••••••• C•••••• P••••••• I• G• ••••••••• L•• · Shareholder
        indirect · owns 25% to 50% of A••••••• F•••••••• S••••••• F••• I•• L•
      • A••••••• F•••••••• S••••••• F••• I•• L• · Shareholder
        indirect · owns 50% to 75% of A•••• L•••••• H••••••• L••
      • A••••••• L•••••• C•••••••• L• · Shareholder
        indirect · owns 25% to 50% of A••••••• L•••••• H••••••• L••
      • A••••••• L•••••• H••••••• L•• · Shareholder
        indirect · owns 25% to 50% of A•••• L•••••• H••••••• L••
      • A••••••• H•••••••• I••• · Equity Owner
        indirect · owns 75% or more of A•••• L•••••• M••••••••• I• I•••
      • G•••••• C•••••• P•••••• V•• L• · Shareholder
        indirect · owns 25% to 50% of A•••• L•••••• H••••••• L••
      Related persons
      Schedule D 7.A
      • A••••••• A•••••••• L••
        investment adviserbanknRAUM $150M
      • A••••••• I••••••••• L••
        broker-dealern
      • A••••••• A••••••• L••
        investment adviserbankn
      • A••••••• D••••• A••••••••• O••••••••• G• L••
        pooled vehicle sponsorn
      • A••••••• M••••••••• O••••••• G• L••
        pooled vehicle sponsorn
      • A••••••• M••••••••• O•••••• G• L••
        pooled vehicle sponsorn
      • A••••••• P••• P•••••• G•• L••
        pooled vehicle sponsorn
      • A••••••• R••• E••••• P••••••• G• L••
        pooled vehicle sponsorn
      • A••••••• T••••••• O••••••••• O••••••• G• L••
        pooled vehicle sponsorn
      • A••••••• T••••••• O••••••••• O•••••• G• L••
        pooled vehicle sponsorn
      • A••••••• V•• 2••• G• L••
        pooled vehicle sponsorn
      • G••••• I••••••••• O•••••• G• L••
        pooled vehicle sponsorn
      Advisers that list A••••••• A••••••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 9
        Apr 2, 2019 to Mar 31, 2020
      • Pooled vehicle clients · 4 to 9
        Apr 2, 2019 to Mar 31, 2020
      • Private funds · 4 to 9
        Apr 2, 2019 to Mar 31, 2020
      • Discretionary RAUM · $200M to $508M
        Apr 2, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · $0 to $52.6M
        Apr 2, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $200M to $561M
        Apr 2, 2019 to Mar 31, 2020
      • RAUM · $200M to $561M
        Apr 2, 2019 to Mar 31, 2020
      • Accounts · 3 to 4
        Jul 13, 2018 to Apr 2, 2019
      • Pooled vehicle clients · 3 to 4
        Jul 13, 2018 to Apr 2, 2019
      • Private funds · 3 to 4
        Jul 13, 2018 to Apr 2, 2019
      • Discretionary RAUM · $107M to $200M
        Jul 13, 2018 to Apr 2, 2019
      • Pooled vehicle RAUM · $112M to $200M
        Jul 13, 2018 to Apr 2, 2019
      • RAUM · $107M to $200M
        Jul 13, 2018 to Apr 2, 2019
      • Accounts · unset to 3.0
        Jun 29, 2018 to Jul 13, 2018
      • Pooled vehicle clients · unset to 3.0
        Jun 29, 2018 to Jul 13, 2018
      • Private funds · unset to 3
        Jun 29, 2018 to Jul 13, 2018
      • Discretionary RAUM · unset to 107450000.0
        Jun 29, 2018 to Jul 13, 2018
      • Non-discretionary RAUM · unset to 0.0
        Jun 29, 2018 to Jul 13, 2018
      • Pooled vehicle RAUM · unset to 112250000.0
        Jun 29, 2018 to Jul 13, 2018
      • RAUM · unset to 107450000.0
        Jun 29, 2018 to Jul 13, 2018
      Signals
      3 dated events
      • A••••••• A••••••••• A••••••• L•• reported RAUM $560.8M, up 180% from $200.4M (2019-04-02 to 2020-03-31)
        Mar 31, 2020 · RAUM change · derived
      • Wayne Jeffrey Greenberg (Shareholder) appeared on Schedule A of A••••••• A••••••••• A••••••• L••
        Mar 31, 2020 · Control person joined · fact
      • A••••••• A••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 29, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      A••••••• A••••••••• A••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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