DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

N•• A•••••••• P••••••• L••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $316M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2019-02-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $316M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -38%
Private clients: 44% of RAUM, $138M

Advisors Advisor movement Where the RAUM sits

As of 2019-02-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -38% over the last fiscal year, to $316M.
2019-02-25
RAUM a year earlier $512MRAUM now $316M

Every filed figure, and the identifiersCRD 105462 · SEC 801-26535 · 17 filingsShow

CRD 105462SEC 801-26535First filing on the tape Mar 20, 2012, latest Feb 25, 2019IAPD

RAUM

$316M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

44%

$138M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$316M as of Feb 25, 2019

Mar 20, 2012$2.5B then

HNW client RAUM$138M as of Feb 25, 2019

Mar 8, 2018$201M then

State-registered IARs (5.B.3)0 as of Feb 25, 2019

Mar 25, 20130 then

Employees (5.A)10 as of Feb 25, 2019

Mar 25, 201322 then

Private funds: no history

RAUM -38% over the last fiscal year-32% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 25, 2019; 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: $454,627derivedHNW RAUM over HNW clients
Average account: $900,857derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 50%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: -38%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 individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

State and municipal entities$139M44%
High-net-worth individuals$138M44%
Corporations and businesses$20.7M6.5%
Pension and profit-sharing plans$17.1M5.4%
Charitable organizations$1.1M0.4%

Individual clients: n/areported
HNW clients: 303reported
Pension plan clients: 17reported
Charitable clients: n/areported
Accounts: 351reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $127M managedreported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••• M•••••••• R••••• · Member, Manager, Ccocontrol
since 01/1986 · owns 50% to 75%
P••••• N••••••••• H• · Member, Senior Portfolio Managercontrol
since 04/1996 · owns 25% to 50%
H••••••• J•••• F•••• · Member
since 01/2012 · owns less than 5%
L••• W•••••• · Member, Chief Financial Officer
since 01/2012 · owns less than 5%
S••••• R•••••• E•••• · Head Of Operations
since 11/2017 · owns less than 5%

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 · 410 to 351
Mar 8, 2018 to Feb 25, 2019
Corporate clients · 20 to 19
Mar 8, 2018 to Feb 25, 2019
HNW clients · 358 to 303
Mar 8, 2018 to Feb 25, 2019
Pension plan clients · 18 to 17
Mar 8, 2018 to Feb 25, 2019
Discretionary RAUM · $512M to $316M
Mar 8, 2018 to Feb 25, 2019
HNW RAUM · $201M to $138M
Mar 8, 2018 to Feb 25, 2019
Pension RAUM · $20.0M to $17.1M
Mar 8, 2018 to Feb 25, 2019
RAUM · $512M to $316M
Mar 8, 2018 to Feb 25, 2019
Wrap assets (manager) · $187M to $127M
Mar 8, 2018 to Feb 25, 2019
Accounts · 446 to 410
Dec 14, 2017 to Mar 8, 2018
Advisory employees · 5 to 4
Dec 14, 2017 to Mar 8, 2018
Corporate clients · unset to 20.0
Dec 14, 2017 to Mar 8, 2018
HNW clients · 410 to 358
Dec 14, 2017 to Mar 8, 2018
Pension plan clients · 19 to 18
Dec 14, 2017 to Mar 8, 2018
Employees · 11 to 10
Dec 14, 2017 to Mar 8, 2018
Discretionary RAUM · $456M to $512M
Dec 14, 2017 to Mar 8, 2018
HNW RAUM · $208M to $201M
Dec 14, 2017 to Mar 8, 2018
Pension RAUM · $24.9M to $20.0M
Dec 14, 2017 to Mar 8, 2018
RAUM · $456M to $512M
Dec 14, 2017 to Mar 8, 2018
Wrap assets (manager) · $0 to $187M
Dec 14, 2017 to Mar 8, 2018
Advisory employees · 6 to 5
Mar 13, 2017 to Dec 14, 2017
HNW clients · unset to 410.0
Mar 13, 2017 to Dec 14, 2017
Pension plan clients · unset to 19.0
Mar 13, 2017 to Dec 14, 2017
Employees · 14 to 11
Mar 13, 2017 to Dec 14, 2017
Other offices · unset to 0.0
Mar 13, 2017 to Dec 14, 2017
HNW RAUM · unset to 207936992.0
Mar 13, 2017 to Dec 14, 2017
Pension RAUM · unset to 24871133.0
Mar 13, 2017 to Dec 14, 2017
Wrap assets (manager) · unset to 0.0
Mar 13, 2017 to Dec 14, 2017
Wrap assets (sponsor) · unset to 0.0
Mar 13, 2017 to Dec 14, 2017
Accounts · 493 to 446
Oct 17, 2016 to Mar 13, 2017
Advisory activities · 4 to 3
Oct 17, 2016 to Mar 13, 2017
Employees · 15 to 14
Oct 17, 2016 to Mar 13, 2017
Discretionary RAUM · $987M to $456M
Oct 17, 2016 to Mar 13, 2017
RAUM · $987M to $456M
Oct 17, 2016 to Mar 13, 2017
Employees · 17 to 15
Jun 1, 2016 to Oct 17, 2016
Accounts · 453 to 493
Mar 24, 2015 to Feb 2, 2016
Advisory employees · 9 to 6
Mar 24, 2015 to Feb 2, 2016
Employees · 20 to 17
Mar 24, 2015 to Feb 2, 2016
Discretionary RAUM · $1.2B to $987M
Mar 24, 2015 to Feb 2, 2016
RAUM · $1.2B to $987M
Mar 24, 2015 to Feb 2, 2016

Signals

1 dated events

••• Locked
Feb 25, 2019 · RAUM change · derived

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026