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

N••••••• S••••••• F••• M••••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 300339SEC 801-118604IAPD
Latest filing Mar 30, 2022
First filing on the tape Mar 30, 2020 · 6 filings
RAUM
$808M
reported, Item 5.F
Discretionary
98%
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
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$808M gross assets
History
6 filings and snapshots on the tape
RAUM$808M as of Mar 30, 2022
Mar 28, 2021$954M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 28, 20210 then
Employees (5.A)14 as of Mar 30, 2022
Mar 28, 202114 then
Private funds5 as of Mar 30, 2022
Mar 28, 20215 then
RAUM -15% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2022; 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
$162MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%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
-15%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
$15.2M, 1 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$808M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$15.2M for 1 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
      N••••••• S••••••• I••••••••• F••• I•• L•Private Equity Fund$13.7M21Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• R•••••• S••• · Presidentcontrol
        since 12/2018 · owns less than 5%
      • H•••••••• S••••• · Senior Investment Manager And Secretarycontrol
        since 12/2018 · owns less than 5%
      • L•••••••• R••••••• M• · Chief Financial Officer And Chief Compliance Officercontrol
        since 12/2018 · owns less than 5%
      • D•••••• J•••••••• L• · Shareholdercontrol
        since 09/2019 · owns 25% to 50% of M••••• L••• P••••••• I•••
      • D•••••• R•••••• S••• · Shareholdercontrol
        since 09/2019 · owns 50% to 75% of M••••• L••• P••••••• I•••
      • H•••••••• J•••••• · Shareholdercontrol
        since 09/2019 · owns 50% to 75% of E•••••• M••••••••• I•••
      • H•••••••• S••••• · Shareholdercontrol
        since 09/2019 · owns 50% to 75% of E•••••• M••••••••• I•••
      Entity owners
      • E•••••• M••••••••• I••• · Member
        direct · owns 50% to 75%
      • M••••• L••• P••••••• I••• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $31.9M to $15.2M
        Sep 13, 2021 to Mar 30, 2022
      • Discretionary RAUM · $922M to $793M
        Sep 13, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $31.9M to $15.2M
        Sep 13, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $954M to $808M
        Sep 13, 2021 to Mar 30, 2022
      • RAUM · $954M to $808M
        Sep 13, 2021 to Mar 30, 2022
      • Advisory employees · 8 to 7
        Jul 9, 2021 to Sep 13, 2021
      • Assets in custody · $36.4M to $31.9M
        Mar 30, 2020 to Mar 28, 2021
      • Discretionary RAUM · $984M to $922M
        Mar 30, 2020 to Mar 28, 2021
      • Non-discretionary RAUM · $36.4M to $31.9M
        Mar 30, 2020 to Mar 28, 2021
      • Pooled vehicle RAUM · $1.0B to $954M
        Mar 30, 2020 to Mar 28, 2021
      • RAUM · $1.0B to $954M
        Mar 30, 2020 to Mar 28, 2021
      • Succession · true to false
        Mar 30, 2020 to Mar 28, 2021
      Signals
      2 dated events
      • N••••••• S••••••• F••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 30, 2020 · Succession (Item 4) · fact
      • N••••••• S••••••• F••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 30, 2020 · 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