DFX Intelligence

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A••••• I••••••••• M••••••••• L••

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

Former SEC-registered adviser, based in New York, New York.

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

As of 2024-10-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

RAUM change, 1 year: -100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2024-10-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 25 Oct 2024, RAUM $2.31B to $0 (-100.0%) on the Form ADV filed 25 Oct 2024, while offices fell 3 to 0.

Every filed figure, and the identifiersCRD 105588 · SEC 801-22119 · 26 filingsShow

CRD 105588SEC 801-22119First filing on the tape Jan 24, 2012, latest Oct 25, 2024IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM -100% over the last fiscal year · the tape starts Jan 24, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$2.1B as of Mar 28, 2024

Jan 24, 2012$3.2B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 28, 2024

Jan 24, 20120 then

Employees (5.A)36 as of Mar 28, 2024

Mar 19, 201335 then

Private funds: no history

RAUM -100% over the last fiscal yearIARs 0 to 0offices 3 to 0

Practice profile

derived from the filing of Oct 25, 2024; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: -9.6%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: otherreportedItem 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

is a broker-dealer (6.A.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 0reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••••••• D••••• P•••••• · Manager, President And Ceocontrol
since 12/2005 · owns less than 5%
A•••••• A••••• R•••••• · Chief Financial Officer
since 12/2018 · owns less than 5%
F•••••••• R••••••• S•••• · Chief Compliance Officer
since 04/2012 · owns less than 5%
H•••••••• C•••••• B••••• · Manager
since 08/2016 · owns less than 5%

Entity owners

A••••• M••••••••• C••••••••• · Shareholder
direct · owns 75% or more

Related persons

Schedule D 7.A

A••••• D••••••••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 2 to 0
Sep 12, 2024 to Oct 25, 2024
Advisory employees · 4 to 0
Sep 12, 2024 to Oct 25, 2024
BD registered reps · 9 to 4
Sep 12, 2024 to Oct 25, 2024
Employees · 19 to 14
Sep 12, 2024 to Oct 25, 2024
Discretionary RAUM · $166M to $0
Sep 12, 2024 to Oct 25, 2024

Full history · 80 changes

RAUM · $166M to $0
Sep 12, 2024 to Oct 25, 2024
Accounts · 3 to 2
Aug 16, 2024 to Sep 12, 2024
Advisory employees · 5 to 4
Aug 16, 2024 to Sep 12, 2024
BD registered reps · 13 to 9
Aug 16, 2024 to Sep 12, 2024
Employees · 25 to 19
Aug 16, 2024 to Sep 12, 2024
Discretionary RAUM · $616M to $166M
Aug 16, 2024 to Sep 12, 2024
RAUM · $616M to $166M
Aug 16, 2024 to Sep 12, 2024
Accounts · 9 to 3
Mar 28, 2024 to Aug 16, 2024
Advisory employees · 10 to 5
Mar 28, 2024 to Aug 16, 2024
BD registered reps · 19 to 13
Mar 28, 2024 to Aug 16, 2024
Employees · 36 to 25
Mar 28, 2024 to Aug 16, 2024
Other offices · 2 to 0
Mar 28, 2024 to Aug 16, 2024
Discretionary RAUM · $2.1B to $616M
Mar 28, 2024 to Aug 16, 2024
RAUM · $2.1B to $616M
Mar 28, 2024 to Aug 16, 2024
Advisory employees · 11 to 10
Oct 24, 2023 to Mar 28, 2024
Discretionary RAUM · $2.3B to $2.1B
Oct 24, 2023 to Mar 28, 2024
RAUM · $2.3B to $2.1B
Oct 24, 2023 to Mar 28, 2024
Other offices · 3 to 2
Mar 30, 2023 to Oct 24, 2023
Accounts · 10 to 9
Feb 3, 2022 to Mar 30, 2023
Advisory employees · 8 to 11
Feb 3, 2022 to Mar 30, 2023
BD registered reps · 20 to 19
Feb 3, 2022 to Mar 30, 2023
Discretionary RAUM · $3.2B to $2.3B
Feb 3, 2022 to Mar 30, 2023
RAUM · $3.2B to $2.3B
Feb 3, 2022 to Mar 30, 2023
BD registered reps · 21 to 20
Oct 1, 2021 to Feb 3, 2022
Employees · 37 to 36
Oct 1, 2021 to Feb 3, 2022
Discretionary RAUM · $3.2B to $3.2B
Oct 1, 2021 to Feb 3, 2022
RAUM · $3.2B to $3.2B
Oct 1, 2021 to Feb 3, 2022
Advisory employees · 3 to 8
Aug 4, 2021 to Oct 1, 2021
BD registered reps · 19 to 21
Aug 4, 2021 to Oct 1, 2021
Employees · 32 to 37
Aug 4, 2021 to Oct 1, 2021
Discretionary RAUM · $3.2B to $3.2B
Aug 4, 2021 to Oct 1, 2021
RAUM · $3.2B to $3.2B
Aug 4, 2021 to Oct 1, 2021
Accounts · 11 to 10
Mar 31, 2020 to Mar 30, 2021
BD registered reps · 18 to 19
Mar 31, 2020 to Mar 30, 2021
Employees · 34 to 32
Mar 31, 2020 to Mar 30, 2021
Discretionary RAUM · $3.1B to $3.2B
Mar 31, 2020 to Mar 30, 2021
RAUM · $3.1B to $3.2B
Mar 31, 2020 to Mar 30, 2021
BD registered reps · 17 to 18
Oct 14, 2019 to Mar 31, 2020
Discretionary RAUM · $3.1B to $3.1B
Oct 14, 2019 to Mar 31, 2020
RAUM · $3.1B to $3.1B
Oct 14, 2019 to Mar 31, 2020
BD registered reps · 18 to 17
Mar 27, 2019 to Jul 24, 2019
Employees · 36 to 34
Mar 27, 2019 to Jul 24, 2019
Discretionary RAUM · $3.0B to $3.1B
Mar 27, 2019 to Jul 24, 2019
RAUM · $3.0B to $3.1B
Mar 27, 2019 to Jul 24, 2019
BD registered reps · 19 to 18
Mar 28, 2018 to Mar 27, 2019
Employees · 37 to 36
Mar 28, 2018 to Mar 27, 2019
Discretionary RAUM · $3.7B to $3.0B
Mar 28, 2018 to Mar 27, 2019
RAUM · $3.7B to $3.0B
Mar 28, 2018 to Mar 27, 2019
Advisory employees · 5 to 3
Mar 30, 2017 to Mar 28, 2018
BD registered reps · 18 to 19
Mar 30, 2017 to Mar 28, 2018
Employees · 38 to 37
Mar 30, 2017 to Mar 28, 2018
Other offices · unset to 3.0
Mar 30, 2017 to Mar 28, 2018
Discretionary RAUM · $3.8B to $3.7B
Mar 30, 2017 to Mar 28, 2018
RAUM · $3.8B to $3.7B
Mar 30, 2017 to Mar 28, 2018
Employees · 37 to 38
Mar 30, 2016 to Mar 30, 2017
Discretionary RAUM · $3.7B to $3.8B
Mar 30, 2016 to Mar 30, 2017
RAUM · $3.7B to $3.8B
Mar 30, 2016 to Mar 30, 2017
Accounts · 9 to 11
Oct 28, 2015 to Mar 30, 2016
Advisory employees · 3 to 5
Oct 28, 2015 to Mar 30, 2016
BD registered reps · 17 to 18
Oct 28, 2015 to Mar 30, 2016
Discretionary RAUM · $3.1B to $3.7B
Oct 28, 2015 to Mar 30, 2016
RAUM · $3.1B to $3.7B
Oct 28, 2015 to Mar 30, 2016
BD registered reps · 15 to 17
Jan 24, 2014 to Feb 12, 2015
Employees · 35 to 37
Jan 24, 2014 to Feb 12, 2015
Discretionary RAUM · $3.0B to $3.1B
Jan 24, 2014 to Feb 12, 2015
RAUM · $3.0B to $3.1B
Jan 24, 2014 to Feb 12, 2015
Accounts · 10 to 9
May 24, 2013 to Jan 24, 2014
Advisory employees · 4 to 3
May 24, 2013 to Jan 24, 2014
BD registered reps · 16 to 15
May 24, 2013 to Jan 24, 2014
Discretionary RAUM · $2.5B to $3.0B
May 24, 2013 to Jan 24, 2014
RAUM · $2.5B to $3.0B
May 24, 2013 to Jan 24, 2014
Accounts · 11 to 10
Mar 19, 2013 to May 24, 2013
Discretionary RAUM · $3.4B to $2.5B
Mar 19, 2013 to May 24, 2013
RAUM · $3.4B to $2.5B
Mar 19, 2013 to May 24, 2013
Accounts · 14 to 11
Apr 24, 2012 to Mar 19, 2013

Signals

4 dated events

••• Locked
Oct 25, 2024 · RAUM change · derived
••• Locked
Sep 12, 2024 · RAUM change · derived
••• Locked
Aug 16, 2024 · RAUM change · derived
••• Locked
Mar 30, 2023 · 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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

Not yet on record: private clients.