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

F•••• R••• E••••• P•••••••

Former SEC-registered adviserNew York, New YorkCRD 292415SEC 801-113189IAPD
Legal name A••••• R••• E••••• P••••••• L•
Latest filing Apr 15, 2020
First filing on the tape Apr 9, 2018 · 6 filings
RAUM
$41.0M
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
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$41.0M gross assets
History
6 filings and snapshots on the tape
RAUM$41.0M as of Mar 27, 2020
Mar 30, 2019$41.0M then
HNW client RAUM$0 as of Mar 27, 2020
Mar 30, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 30, 20190 then
Employees (5.A)9 as of Mar 27, 2020
Mar 30, 20198 then
Private funds2 as of Mar 27, 2020
Mar 30, 20192 then
RAUM -0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 15, 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
$20.5MderivedRAUM 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
-0.0%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
$41.0M, 2 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$41.0M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$41.0M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• 3•• W••• E•• L•Private Equity Fund$54.0M8Oct 11, 2018
      A••••• 3•• W••• E•• E••••• L•Private Equity Fund$1,7007Oct 11, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••• J•••••• B•••••• · Partner, Investment Committee Membercontrol
        since 01/2018 · owns less than 5%
      • R•••••• M•••••• •••• · Partner, Investment Committee Membercontrol
        since 01/2018 · owns less than 5%
      • W••••••• Z••••••• A•••••• · Chief Compliance Officercontrol
        since 03/2019 · owns less than 5%
      • R•••••• D•••••••• N•• · Trusteecontrol
        since 01/2018 · owns F of D••••••• R••••• F••••• G•• T••••
      • R•••••• E••••• J•••• · Trusteecontrol
        since 01/2018 · owns F of D••••••• R••••• F••••• G•• T••••
      • R•••••• E••••• J•••• · Trusteecontrol
        since 01/2018 · owns F of J••••• R••••• F••••• G•• T••••
      • R•••••• E••••• J•••• · Trusteecontrol
        since 01/2018 · owns F of T•••• R••••• F••••• G•• T••••
      • R•••••• J•••••• B•••••• · Trusteecontrol
        since 01/2018 · owns F of J••••• R••••• F••••• G•• T••••
      • R•••••• J•••••• B•••••• · Limited Partnercontrol
        since 01/2018 · owns 25% to 50% of R• C••••• J• L••
      • R•••••• J•••••• B•••••• · General Partnercontrol
        since 01/2018 · owns F of T•••••• L•
      • R•••••• M•••••• •••• · General Partnercontrol
        since 01/2018 · owns F of T•••••• L•
      • R•••••• T••••• N•• · Trusteecontrol
        since 01/2018 · owns F of T•••• R••••• F••••• G•• T••••
      Entity owners
      • A••••• R••• E••••• P••••••• G• L•• · General Partner
        direct · owns less than 5%
      • R• C••••• J• L•• · Limited Partner
        direct · owns 75% or more
      • D••••••• R••••• F••••• G•• T•••• · Limited Partner
        indirect · owns 25% to 50% of T•••••• L•
      • T•••••• L• · Member
        indirect · owns 75% or more of R• C••••• J• L••
      • J••••• R••••• F••••• G•• T•••• · Limited Partner
        indirect · owns 25% to 50% of T•••••• L•
      • T•••• R••••• F••••• G•• T•••• · Limited Partner
        indirect · owns 25% to 50% of T•••••• L•
      Related persons
      Schedule D 7.A
      • A••••• 3•• W••• E•• E••••• G•• L••
        pooled vehicle sponsorn
      • A••••• 3•• W••• E•• G•• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · A••••• R••• E••••• P••••••• L• to F•••• R••• E••••• P•••••••
        Mar 27, 2020 to Apr 15, 2020
      • Advisory employees · 5 to 6
        Apr 17, 2019 to Mar 27, 2020
      • Assets in custody · $41.0M to $41.0M
        Apr 17, 2019 to Mar 27, 2020
      • Employees · 8 to 9
        Apr 17, 2019 to Mar 27, 2020
      • Discretionary RAUM · $41.0M to $41.0M
        Apr 17, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $41.0M to $41.0M
        Apr 17, 2019 to Mar 27, 2020
      • RAUM · $41.0M to $41.0M
        Apr 17, 2019 to Mar 27, 2020
      • Advisory employees · 7 to 5
        Oct 11, 2018 to Mar 30, 2019
      • BD registered reps · 1 to 0
        Oct 11, 2018 to Mar 30, 2019
      • Assets in custody · unset to 41000000.0
        Oct 11, 2018 to Mar 30, 2019
      • Custody of client assets · false to true
        Oct 11, 2018 to Mar 30, 2019
      • Employees · 10 to 8
        Oct 11, 2018 to Mar 30, 2019
      • Discretionary RAUM · $40.0M to $41.0M
        Oct 11, 2018 to Mar 30, 2019
      • Pooled vehicle RAUM · $40.0M to $41.0M
        Oct 11, 2018 to Mar 30, 2019
      • RAUM · $40.0M to $41.0M
        Oct 11, 2018 to Mar 30, 2019
      • Related adviser · true to false
        Oct 11, 2018 to Mar 30, 2019
      • Accounts · 0 to 2
        Apr 9, 2018 to Oct 11, 2018
      • Pooled vehicle clients · 0 to 2
        Apr 9, 2018 to Oct 11, 2018
      • Private funds · unset to 2
        Apr 9, 2018 to Oct 11, 2018
      • Discretionary RAUM · $0 to $40.0M
        Apr 9, 2018 to Oct 11, 2018
      • Pooled vehicle RAUM · $0 to $40.0M
        Apr 9, 2018 to Oct 11, 2018
      • RAUM · $0 to $40.0M
        Apr 9, 2018 to Oct 11, 2018
      Signals
      8 dated events
      • Liam Joseph Mcdonnell (Partner, Chief Investment Officer) no longer on Schedule A of F•••• R••• E••••• P••••••• (listed 2020-03-27, absent 2020-04-15)
        Apr 15, 2020 · Control person left · inference
      • Abraham Zachary Weinman (Chief Compliance Officer) appeared on Schedule A of F•••• R••• E••••• P•••••••
        Mar 30, 2019 · Control person joined · fact
      • Brian Anthony Tufariello (Chairman, Co-Chief Investment Officer) no longer on Schedule A of F•••• R••• E••••• P••••••• (listed 2018-10-11, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • Daniel John Vavas (Chief Compliance Officer) no longer on Schedule A of F•••• R••• E••••• P••••••• (listed 2018-10-11, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • Levi Ziel Feldman (Sole Member) no longer on Schedule A of F•••• R••• E••••• P••••••• (listed 2018-10-11, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • Nmn Nir Meir (Sole Member) no longer on Schedule A of F•••• R••• E••••• P••••••• (listed 2018-10-11, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • Anthony Joseph Piscina (Chief Operations Officer) no longer on Schedule A of F•••• R••• E••••• P••••••• (listed 2018-10-11, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • A••••• R••• E••••• P••••••• L• filed its initial SEC registration (Form ADV)
        Apr 9, 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