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•••• A•••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 300650SEC 801-114859IAPD
Latest filing Jun 30, 2022
First filing on the tape Feb 18, 2019 · 9 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
262
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 29, 2022
Mar 25, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 25, 20200 then
Employees (5.A)262 as of Mar 29, 2022
Mar 25, 202055 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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 assetsreportedItem 5.E
Advisory activities
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• R•••••• D•••• · Chief Executive Officercontrol
        since 02/2019 · owns less than 5%
      • G••••••• S••••• C•••••• · Elected Managercontrol
        since 12/2021 · owns F of N•• Y••• D•••••• I••••••••• G•••• L••
      • G••••••• R•••••• D•••• · Elected Manager And Chief Executive Officercontrol
        since 12/2017 · owns F of N•• Y••• D•••••• I••••••••• G•••• L••
      • H•••••• D••••• B• · Elected Managercontrol
        since 12/2017 · owns F of N•• Y••• D•••••• I••••••••• G•••• L••
      • M•••••• T•••••••• A•••••••• · Elected Managercontrol
        since 03/2021 · owns F of N•• Y••• D•••••• I••••••••• G•••• L••
      • R••••• J••••••••• D••• · Elected Managercontrol
        since 01/2021 · owns F of N•• Y••• D•••••• I••••••••• G•••• L••
      • S•••••• R•••••• M•••••• · Elected Managercontrol
        since 12/2017 · owns F of N•• Y••• D•••••• I••••••••• G•••• L••
      • S••••••• R•••• L••••••• · Manager Of General Partner; Limited Partnercontrol
        since 09/2012 · owns 50% to 75% of S•••• R•••• H••••••• G•••• L•
      • S••••••• R•••• L••••••• · Elected Managercontrol
        since 12/2017 · owns F of N•• Y••• D•••••• I••••••••• G•••• L••
      • D••••• T••••••• J••• · Chief Financial Officer
        since 07/2021 · owns less than 5%
      • D••••• S•••••• L••••••• · Chief Operating Officer
        since 07/2021 · owns less than 5%
      • G•••••••• R•••••• A•••••••• · General Counsel
        since 01/2019 · owns less than 5%
      • R•••••••• J••••• T••••• · Chief Administrative Officer And Chief Legal Officer
        since 01/2021 · owns less than 5%
      • S•••• T•••• · Global Head Of I••••••••• Finance
        since 06/2022 · owns less than 5%
      • S•••••••• C••••••• T••••••• · Chief Compliance Officer
        since 08/2021 · owns less than 5%
      Entity owners
      • N•••• I••••••••• H••••••• L•• · Sole Member
        direct · owns 75% or more
      • N•• Y••• D•••••• I••••••••• G•••• L•• · Member
        indirect · owns 75% or more of N•••• I•• L••
      • N•••• I•• L•• · Sole Member
        indirect · owns 75% or more of N•••• I••••••••• H••••••• L••
      • S•••• R•••• H••••••• G•••• L• · Member
        indirect · owns 25% to 50% of N•• Y••• D•••••• I••••••••• G•••• L••
      Related persons
      Schedule D 7.A
      • D••• R•••••••• C••••• F••• I• ••• L••
        pooled vehicle sponsorn
      • L••••••• F••• I• ••• L••
        pooled vehicle sponsorn
      • L••••••• R• ••••••• S•• L•••
        real estaten
      • L••••••• U••••••••• L•••
        real estaten
      • N•••• A•••• M••••••••• L••
        pooled vehicle sponsorn
      • N•••• T•••• C•••••• L••
        n
      • S••• ••• L••
        pooled vehicle sponsorn
      • S•••• R•••• A•••• M••••••••• L••
        investment adviserbankpooled vehicle sponsornRAUM $36B
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 20 to 21
        Aug 27, 2021 to Mar 29, 2022
      • BD registered reps · 4 to 12
        Aug 27, 2021 to Mar 29, 2022
      • Employees · 127 to 262
        Aug 27, 2021 to Mar 29, 2022
      • Advisory employees · 7 to 20
        Mar 25, 2020 to Mar 29, 2021
      • BD registered reps · 1 to 4
        Mar 25, 2020 to Mar 29, 2021
      • Employees · 55 to 127
        Mar 25, 2020 to Mar 29, 2021
      • Related broker-dealer · true to false
        Mar 25, 2020 to Mar 29, 2021
      • Advisory employees · 8 to 7
        Feb 18, 2019 to Mar 25, 2020
      • BD registered reps · 2 to 1
        Feb 18, 2019 to Mar 25, 2020
      • Employees · 33 to 55
        Feb 18, 2019 to Mar 25, 2020
      Signals
      12 dated events
      • Thomas James Rothwell (Chief Administrative Officer And Chief Legal Officer) appeared on Schedule A of N•••• A•••• A••••••• L••
        Mar 29, 2022 · Control person joined · fact
      • Charles Scott Ganeles (Elected Manager) appeared on Schedule A of N•••• A•••• A••••••• L••
        Mar 29, 2022 · Control person joined · fact
      • M•••• B••••••• L••••• (Elected Manager) no longer on Schedule A of N•••• A•••• A••••••• L•• (listed 2021-08-27, absent 2022-03-29)
        Mar 29, 2022 · Control person left · inference
      • John Timothy Dalby (Chief Financial Officer) appeared on Schedule A of N•••• A•••• A••••••• L••
        Aug 27, 2021 · Control person joined · fact
      • Alexander Theodore Mathas (Elected Manager) appeared on Schedule A of N•••• A•••• A••••••• L••
        Mar 29, 2021 · Control person joined · fact
      • Dawn Jacqueline Reses (Elected Manager) appeared on Schedule A of N•••• A•••• A••••••• L••
        Mar 29, 2021 · Control person joined · fact
      • James Nathaniel Conrad (Head Of Investor Solutions) appeared on Schedule A of N•••• A•••• A••••••• L••
        Mar 29, 2021 · Control person joined · fact
      • Edward Lawrence Leibowitz (Elected Manager) no longer on Schedule A of N•••• A•••• A••••••• L•• (listed 2020-03-25, absent 2021-03-29)
        Mar 29, 2021 · Control person left · inference
      • Gordon Geoffrey Clark (Elected Manager) no longer on Schedule A of N•••• A•••• A••••••• L•• (listed 2020-03-25, absent 2021-03-29)
        Mar 29, 2021 · Control person left · inference
      • Sraw James Singh (Chief Technology Officer) no longer on Schedule A of N•••• A•••• A••••••• L•• (listed 2019-02-18, absent 2020-03-25)
        Mar 25, 2020 · Control person left · inference
      • Leo Robert Flatley (Chief Operating Officer) no longer on Schedule A of N•••• A•••• A••••••• L•• (listed 2019-02-18, absent 2020-03-25)
        Mar 25, 2020 · Control person left · inference
      • N•••• A•••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Feb 18, 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