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

D•••••• C• L••• • A••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 104882SEC 801-47055IAPD
Latest filing Mar 31, 2015
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$4.4B
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
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$4.4B as of Mar 31, 2015
Mar 30, 2012$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 28, 20130 then
Employees (5.A)32 as of Mar 31, 2015
Mar 28, 201331 then
Private funds: no history
RAUM +22% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2015; 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
$1.1MderivedRAUM 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
+22%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
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$14.1M, 6 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4,149reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$14.1M for 6 clientsreported
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
      • D•••••• E•••••• D•••• · Principal, Managing Directorcontrol
        since 01/2000 · owns 5% to 10%
      • L•••• D••••••• C••••• · President, Ceocontrol
        since 07/1994 · owns 25% to 50%
      • L•••• S•••••• G•• · Principal, Chief Operating Officer, Chief Compliance Officer, Chief Financial Officer And Chief Legal Officercontrol
        since 07/1994 · owns 5% to 10%
      • S••••• S•••• · Principal, Managing Directorcontrol
        since 01/2001 · owns 5% to 10%
      • L•••• S•••••• G•• · Trusteecontrol
        since 09/2012 · owns F of D•••••• C• L••• 2••• I••••••••• T••••
      • C••••••• B••••••• A• · Principal, Chief Operations Officer
        since 01/2008 · owns less than 5%
      • M••••• M•••• V•••• · Principal
        since 01/2008 · owns less than 5%
      • R•••••••• M••••••• S• · Principal
        since 01/2013 · owns less than 5%
      • S••••• A•••••• P• · Principal
        since 01/2008 · owns less than 5%
      • S•••• J•••• R•••• · Principal
        since 01/2006 · owns 5% to 10%
      • V••••• M••••••• L•• · Principal
        since 01/2007 · owns 5% to 10%
      • H•••••• T••• · Trustee
        since 09/2012 · owns F of D•••••• C• L••• 2••• I••••••••• T••••
      • L•••• J••• · Trustee
        since 12/2012 · owns F of G•• L••• 2••• I••••••••• T••••
      • L•••• R•••••• D•••• · Trustee
        since 12/2012 · owns F of G•• L••• 2••• I••••••••• T••••
      • S••••• A•••••• P• · Trustee
        since 12/2012 · owns F of G•• L••• 2••• I••••••••• T••••
      • W••••••• W••••• · Trustee
        since 09/2012 · owns F of D•••••• C• L••• 2••• I••••••••• T••••
      Entity owners
      • D•••••• C• L••• 2••• I••••••••• T•••• · Equity Owner
        direct · owns 5% to 10%
      • G•• L••• 2••• I••••••••• T•••• · Equity Owner
        direct · owns 10% to 25%
      • D•••••• C• L••• 2••• I••••••••• T•••• · Trust
        indirect · owns F of D•••••• C• L••• 2••• I••••••••• T••••
      • G•• L••• 2••• I••••••••• T•••• · Trust
        indirect · owns F of G•• L••• 2••• I••••••••• T••••
      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
      • Accounts · 3,670 to 4,149
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $27.0M to $14.1M
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 33 to 32
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $3.6B to $4.4B
        Mar 31, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $15.1M to $2.8M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $3.6B to $4.4B
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 3,350 to 3,670
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $21.9M to $27.0M
        Mar 28, 2013 to Mar 31, 2014
      • Employees · 31 to 33
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $2.5B to $3.6B
        Mar 28, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $10.9M to $15.1M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $2.5B to $3.6B
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 3,224 to 3,350
        Oct 9, 2012 to Mar 28, 2013
      • Advisory employees · unset to 8.0
        Oct 9, 2012 to Mar 28, 2013
      • Assets in custody · $19.3M to $21.9M
        Oct 9, 2012 to Mar 28, 2013
      • Employees · unset to 31.0
        Oct 9, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Oct 9, 2012 to Mar 28, 2013
      • Discretionary RAUM · $2.2B to $2.5B
        Oct 9, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $25.3M to $10.9M
        Oct 9, 2012 to Mar 28, 2013
      • RAUM · $2.3B to $2.5B
        Oct 9, 2012 to Mar 28, 2013
      • Advisory activities · 2 to 3
        Mar 30, 2012 to Apr 5, 2012
      Signals
      No event on the tape.
      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