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

F•••••••• P••••••• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 105667SEC 801-19567IAPD
Latest filing Mar 30, 2022
First filing on the tape Mar 26, 2012 · 16 filings
RAUM
$742M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
99%
$738M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$742M as of Mar 30, 2022
Mar 26, 2012$302M then
HNW client RAUM$667M as of Mar 30, 2022
Mar 27, 2018$722M then
State-registered IARs (5.B.3)6 as of Mar 30, 2022
Mar 27, 20136 then
Employees (5.A)10 as of Mar 30, 2022
Mar 27, 201310 then
Private funds: no history
RAUM +13% over the last fiscal year+17% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 30, 2022; every figure names its basis
RAUM per advisor
$124MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.5MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
$32.3MreportedItem 5.I
Custody
$449M, 179 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)
  • 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
  • High-net-worth individuals$667M90%
  • Individuals$71.1M9.6%
  • Charitable organizations$4.0M0.5%
Individual clients
137reported
HNW clients
147reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
688reported
Financial planning clients
11-25reported
Wrap fee programs
$16.2M sponsored, $16.2M managedreported
Custody of client assets
$449M for 179 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• A•••• · President, Chief Operating Managercontrol
        since 12/2003 · owns 75% or more
      • G•••••••• C••••• M••••••• · Managing Directorcontrol
        since 06/2006 · owns 10% to 25%
      • M••••••• V••••••• J••• · Chief Compliance Officer, Coocontrol
        since 01/2005 · owns 5% to 10%
      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 · 612 to 688
        Jul 2, 2021 to Mar 30, 2022
      • HNW clients · 145 to 147
        Jul 2, 2021 to Mar 30, 2022
      • Individual clients · 135 to 137
        Jul 2, 2021 to Mar 30, 2022
      • Assets in custody · $415M to $449M
        Jul 2, 2021 to Mar 30, 2022
      • Employees · 12 to 10
        Jul 2, 2021 to Mar 30, 2022
      • Discretionary RAUM · $552M to $649M
        Jul 2, 2021 to Mar 30, 2022
      • HNW RAUM · $598M to $667M
        Jul 2, 2021 to Mar 30, 2022
      • Individual RAUM · $53.1M to $71.1M
        Jul 2, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $102M to $92.6M
        Jul 2, 2021 to Mar 30, 2022
      • RAUM · $654M to $742M
        Jul 2, 2021 to Mar 30, 2022
      • Wrap assets (manager) · $0 to $16.2M
        Jul 2, 2021 to Mar 30, 2022
      • Wrap assets (sponsor) · $0 to $16.2M
        Jul 2, 2021 to Mar 30, 2022
      • Advisory employees · 6 to 8
        Jun 30, 2020 to Mar 29, 2021
      • HNW clients · 142 to 145
        Jun 30, 2020 to Mar 29, 2021
      • Individual clients · 128 to 135
        Jun 30, 2020 to Mar 29, 2021
      • Assets in custody · $327M to $415M
        Jun 30, 2020 to Mar 29, 2021
      • Employees · 11 to 12
        Jun 30, 2020 to Mar 29, 2021
      • State-registered IARs · 5 to 6
        Jun 30, 2020 to Mar 29, 2021
      • Discretionary RAUM · $483M to $552M
        Jun 30, 2020 to Mar 29, 2021
      • HNW RAUM · $517M to $598M
        Jun 30, 2020 to Mar 29, 2021
      • Individual RAUM · $43.3M to $53.1M
        Jun 30, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $80.0M to $102M
        Jun 30, 2020 to Mar 29, 2021
      • RAUM · $563M to $654M
        Jun 30, 2020 to Mar 29, 2021
      • Accounts · 542 to 612
        Apr 4, 2019 to Jun 30, 2020
      • HNW clients · 120 to 142
        Apr 4, 2019 to Jun 30, 2020
      • Individual clients · 130 to 128
        Apr 4, 2019 to Jun 30, 2020
      • Assets in custody · $340M to $327M
        Apr 4, 2019 to Jun 30, 2020
      • Employees · 10 to 11
        Apr 4, 2019 to Jun 30, 2020
      • State-registered IARs · 6 to 5
        Apr 4, 2019 to Jun 30, 2020
      • Discretionary RAUM · $434M to $483M
        Apr 4, 2019 to Jun 30, 2020
      • HNW RAUM · $414M to $517M
        Apr 4, 2019 to Jun 30, 2020
      • Individual RAUM · $48.9M to $43.3M
        Apr 4, 2019 to Jun 30, 2020
      • Non-discretionary RAUM · $31.8M to $80.0M
        Apr 4, 2019 to Jun 30, 2020
      • RAUM · $466M to $563M
        Apr 4, 2019 to Jun 30, 2020
      • Accounts · 633 to 542
        Sep 14, 2018 to Mar 28, 2019
      • Advisory employees · 9 to 6
        Sep 14, 2018 to Mar 28, 2019
      • HNW clients · 170 to 120
        Sep 14, 2018 to Mar 28, 2019
      • Individual clients · 118 to 130
        Sep 14, 2018 to Mar 28, 2019
      • Assets in custody · $419M to $340M
        Sep 14, 2018 to Mar 28, 2019
      • Employees · 14 to 10
        Sep 14, 2018 to Mar 28, 2019
      Signals
      8 dated events
      • A••• M••••• L••••• G••••• left F•••••••• P••••••• C•••••• M••••••••• L•• for G•• F•••••••• S••••••••• L•• (registered 2023-04-04)
        Mar 28, 2023 · Advisor changed firm · fact
      • C•••• M••••••• G••••••• left F•••••••• P••••••• C•••••• M••••••••• L•• for G•• F•••••••• S••••••••• L•• (registered 2023-04-04)
        Mar 28, 2023 · Advisor changed firm · fact
      • V•••••• J••• M•••••• left F•••••••• P••••••• C•••••• M••••••••• L•• for G•• F•••••••• S••••••••• L•• (registered 2023-04-04)
        Mar 28, 2023 · Advisor changed firm · fact
      • A•••• C•••• left F•••••••• P••••••• C•••••• M••••••••• L•• for G•• F•••••••• S••••••••• L•• (registered 2023-04-04)
        Mar 28, 2023 · Advisor changed firm · fact
      • C••••••••• T••••• C••••• left F•••••••• P••••••• C•••••• M••••••••• L•• for G•• F•••••••• S••••••••• L•• (registered 2023-04-04)
        Mar 28, 2023 · Advisor changed firm · fact
      • 2 advisors left F•••••••• P••••••• C•••••• M••••••••• L•• (New York, NY) for G•• F•••••••• S••••••••• L•• on the same day
        Mar 28, 2023 · Team lift-out · derived
      • F•••••••• P••••••• C•••••• M••••••••• L••'s advisors moved to G•• F•••••••• S••••••••• L•• (Aventura, FL): 3 of 5 registered, on the same day
        Mar 28, 2023 · Firm absorbed (people side) · derived
      • F•••••••• P••••••• C•••••• M••••••••• L•• reported RAUM $466.1M, down 45% from $843.5M (2018-09-14 to 2019-03-28)
        Mar 28, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026