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

O••••••••• R••• A•••• M••••••••• I••

Former SEC-registered adviserNew York, New YorkCRD 104981SEC 801-34455IAPD
Latest filing Mar 28, 2013
First filing on the tape Mar 30, 2012 · 5 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
9
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: $2.0B
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Mar 30, 20120 then
Employees (5.A): 9
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2013; 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
unknownderived2 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
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
      • F•••••••• K••••••• M•••• · Treasurercontrol
        since 01/2013 · owns less than 5%
      • G••••••• A•••••• S•••••• · General Counselcontrol
        since 01/2011 · owns less than 5%
      • G•••••• W••••••• F•••••• · Directorcontrol
        since 03/2010 · owns less than 5%
      • H••••••• P••••••• A••••• · Directorcontrol
        since 01/2013 · owns less than 5%
      • P••••••• D••••• M•••••• · Director And Chief Financial Officercontrol
        since 01/2010 · owns less than 5%
      • S••••••••• A•••••• P••••• · President And Directorcontrol
        since 01/2010 · owns less than 5%
      • V•••••••• M•••• S•••••• · Chief Compliance Officercontrol
        since 03/2004 · owns less than 5%
      Entity owners
      • O••••••••• I••• · Direct Shareholder
        direct · owns 75% or more
      • M••••••••• M••••• L••• I•••••••• C•••••• · Shareholder
        indirect · owns 75% or more of M• A•••• M••••••••• H•••••• L••
      • M• A•••• M••••••••• H•••••• L•• · Shareholder
        indirect · owns 75% or more of O••••••••• A••••••••• C••••
      • O••••••••• A••••••••• C•••• · Shareholder
        indirect · owns 75% or more of O••••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Centennial, CO
      What changed
      consecutive filings, newest first
      • Accounts · 10.0 to unset
        Jan 14, 2013 to Mar 28, 2013
      • Advisory employees · 4 to 2
        Jan 14, 2013 to Mar 28, 2013
      • Advisory activities · 3 to 1
        Jan 14, 2013 to Mar 28, 2013
      • BD registered reps · 2 to 3
        Jan 14, 2013 to Mar 28, 2013
      • Employees · 12 to 9
        Jan 14, 2013 to Mar 28, 2013
      • Discretionary RAUM · 2042578784.0 to unset
        Jan 14, 2013 to Mar 28, 2013
      • Non-discretionary RAUM · 0.0 to unset
        Jan 14, 2013 to Mar 28, 2013
      • RAUM · 2042578784.0 to unset
        Jan 14, 2013 to Mar 28, 2013
      • Advisory employees · unset to 4.0
        Jun 20, 2012 to Jan 14, 2013
      • BD registered reps · unset to 2.0
        Jun 20, 2012 to Jan 14, 2013
      • Employees · unset to 12.0
        Jun 20, 2012 to Jan 14, 2013
      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