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

I••• P••• C•••••• P•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 304247SEC 801-116793IAPD
Latest filing Mar 30, 2023
First filing on the tape May 15, 2019 · 11 filings
RAUM
$4.3B
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
32
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$2.3B gross assets
History
11 filings and snapshots on the tape
RAUM$4.3B as of Mar 30, 2023
Mar 19, 2020$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 19, 20200 then
Employees (5.A)32 as of Mar 30, 2023
Mar 19, 202016 then
Private funds6 as of Mar 30, 2023
Mar 19, 20201 then
RAUM +5.0% over the last fiscal year+234% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; 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
$239MderivedRAUM 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
+5.0%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
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.3B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
18reported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••• P••• F••••••• I••••••• R••• S••••••• T••••• •••••• F•••• L•Hedge Fund$100M34Mar 18, 2022
      W•• S•••••••• M••••• F•••• L•no longer reportedHedge Fund$17.3M46Oct 15, 2019
      I••• P••• O••••••••• C•••••• M••••• F•••• L•Other Private Fund$067Mar 18, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • F••• G••••• · Chief Compliance Officer, Chief Operating Officer And General Counselcontrol
        since 03/2019 · owns less than 5%
      • S••••• J• A••••• · Founder And Chief Executive Officercontrol
        since 03/2019 · owns less than 5%
      Entity owners
      • I••• P••• C•••••• H••••••• I••• L• · Limited Partner
        direct · owns 25% to 50%
      • I••• P••• C•••••• H•••••••• L• · Limited Partner
        direct · owns 50% to 75%
      • I••• P••• C•••••• P•••••••• L•• · General Partner
        direct · owns less than 5%
      • I••• P••• C•••••• H••••••• I•• L• · Limited Partner
        indirect · owns 25% to 50% of I••• P••• C•••••• H•••••••• L•
      • I••• P••• C•••••• P•••••••• L•• · General Partner
        indirect · owns F of I••• P••• C•••••• H••••••• I•• L•
      • I••• P••• C•••••• P•••••••• L•• · General Partner
        indirect · owns F of I••• P••• C•••••• H••••••• I••• L•
      • I••• P••• C•••••• P•••••••• L•• · General Partner
        indirect · owns F of I••• P••• C•••••• H•••••••• L•
      Related persons
      Schedule D 7.A
      • A••••••• P••• S•••••••• C•••••• F••• G•• L•••
        pooled vehicle sponsory
      • A••••••• P••• S•••••••• C•••••• F••• I• G•• L•
        pooled vehicle sponsory
      • I••• P••• O••••••••• C•••••• F••• G•• L•
        pooled vehicle sponsory
      • I••• P••• W•• S•••••••• G•• L•
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 16 to 18
        Mar 22, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 16 to 18
        Mar 22, 2022 to Mar 30, 2023
      • Assets in custody · 4095097782.0 to unset
        Mar 22, 2022 to Mar 30, 2023
      • Custody of client assets · true to false
        Mar 22, 2022 to Mar 30, 2023
      • Employees · 30 to 32
        Mar 22, 2022 to Mar 30, 2023
      • Private funds · 5 to 6
        Mar 22, 2022 to Mar 30, 2023
      • Discretionary RAUM · $4.1B to $4.3B
        Mar 22, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $4.1B to $4.3B
        Mar 22, 2022 to Mar 30, 2023
      • RAUM · $4.1B to $4.3B
        Mar 22, 2022 to Mar 30, 2023
      • Accounts · 8 to 16
        Nov 2, 2021 to Mar 18, 2022
      • Pooled vehicle clients · 8 to 16
        Nov 2, 2021 to Mar 18, 2022
      • Assets in custody · $1.7B to $4.1B
        Nov 2, 2021 to Mar 18, 2022
      • Employees · 26 to 30
        Nov 2, 2021 to Mar 18, 2022
      • Private funds · 3 to 5
        Nov 2, 2021 to Mar 18, 2022
      • Discretionary RAUM · $1.7B to $4.1B
        Nov 2, 2021 to Mar 18, 2022
      • Pooled vehicle RAUM · $1.7B to $4.1B
        Nov 2, 2021 to Mar 18, 2022
      • RAUM · $1.7B to $4.1B
        Nov 2, 2021 to Mar 18, 2022
      • Accounts · 11 to 8
        Jul 1, 2020 to Feb 24, 2021
      • Advisory employees · 18 to 20
        Jul 1, 2020 to Feb 24, 2021
      • Pooled vehicle clients · 11 to 8
        Jul 1, 2020 to Feb 24, 2021
      • Assets in custody · $839M to $1.7B
        Jul 1, 2020 to Feb 24, 2021
      • Employees · 23 to 26
        Jul 1, 2020 to Feb 24, 2021
      • Private funds · 4 to 3
        Jul 1, 2020 to Feb 24, 2021
      • Discretionary RAUM · $839M to $1.7B
        Jul 1, 2020 to Feb 24, 2021
      • Pooled vehicle RAUM · $839M to $1.7B
        Jul 1, 2020 to Feb 24, 2021
      • RAUM · $839M to $1.7B
        Jul 1, 2020 to Feb 24, 2021
      • Accounts · 3 to 11
        Mar 19, 2020 to Jul 1, 2020
      • Advisory employees · 10 to 18
        Mar 19, 2020 to Jul 1, 2020
      • Pooled vehicle clients · 3 to 11
        Mar 19, 2020 to Jul 1, 2020
      • Assets in custody · $115M to $839M
        Mar 19, 2020 to Jul 1, 2020
      • Employees · 16 to 23
        Mar 19, 2020 to Jul 1, 2020
      • Private funds · 1 to 4
        Mar 19, 2020 to Jul 1, 2020
      • Discretionary RAUM · $115M to $839M
        Mar 19, 2020 to Jul 1, 2020
      • Pooled vehicle RAUM · $115M to $839M
        Mar 19, 2020 to Jul 1, 2020
      • RAUM · $115M to $839M
        Mar 19, 2020 to Jul 1, 2020
      • Advisory employees · 8 to 10
        Oct 15, 2019 to Mar 19, 2020
      • Assets in custody · $182M to $115M
        Oct 15, 2019 to Mar 19, 2020
      • Employees · 13 to 16
        Oct 15, 2019 to Mar 19, 2020
      • Discretionary RAUM · $182M to $115M
        Oct 15, 2019 to Mar 19, 2020
      • Pooled vehicle RAUM · $182M to $115M
        Oct 15, 2019 to Mar 19, 2020
      Signals
      4 dated events
      • I••• P••• C•••••• P•••••••• L• reported RAUM $4.1B, up 136% from $1.7B (2021-11-02 to 2022-03-18)
        Mar 18, 2022 · RAUM change · derived
      • I••• P••• C•••••• P•••••••• L• reported RAUM $1.7B, up 107% from $839.2M (2020-07-01 to 2021-02-24)
        Feb 24, 2021 · RAUM change · derived
      • I••• P••• C•••••• P•••••••• L• reported RAUM $839.2M, up 629% from $115.2M (2020-03-19 to 2020-07-01)
        Jul 1, 2020 · RAUM change · derived
      • I••• P••• C•••••• P•••••••• L• filed its initial SEC registration (Form ADV)
        May 15, 2019 · ria f•••• adv filing · 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