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.

Former SEC-registered adviser

Retirement Design & Management Inc

Former SEC-registered adviserWestport, ConnecticutCRD 106067SEC 801-47206IAPD
Latest filing Mar 23, 2016
First filing on the tape Feb 16, 2012 · 15 filings
RAUM
$599M
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
15
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$599M as of Mar 23, 2016
Feb 16, 2012$437M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 23, 2016
Mar 18, 20131 then
Employees (5.A)15 as of Mar 23, 2016
Mar 18, 201314 then
Private funds: 1
RAUM -5.8% over the last fiscal year+5.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 23, 2016; every figure names its basis
RAUM per advisor
$599MderivedRAUM 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
$606,355derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
15.0derivedItem 5.A over advisors
Advisors per office
0.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-5.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
988reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Rdm Alphasector Fund, LPno longer reportedHedge Fund$7.4M17Oct 29, 2013
    Owners and control persons
    Schedule A and B, latest filing
    • Owen Thomas Mayper · Exec. Vice Pres.& Managing Directorcontrol
      since 06/1992 · owns less than 5%
    • D Ronald Weiner · Presidentcontrol
      since 09/1991 · owns 75% or more
    • Christine Jill Bodossian · Chief Compliance Officer
      since 06/2003 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Boca Raton, FL
    • Garden City, NY
    • New York, NY
    What changed
    consecutive filings, newest first
    • Accounts · 1,069 to 988
      Oct 5, 2015 to Mar 23, 2016
    • BD registered reps · 10 to 9
      Oct 5, 2015 to Mar 23, 2016
    • Employees · 13 to 15
      Oct 5, 2015 to Mar 23, 2016
    • Discretionary RAUM · $635M to $599M
      Oct 5, 2015 to Mar 23, 2016
    • Non-discretionary RAUM · $420,835 to $249,121
      Oct 5, 2015 to Mar 23, 2016
    • RAUM · $636M to $599M
      Oct 5, 2015 to Mar 23, 2016
    • BD registered reps · 11 to 10
      Mar 30, 2015 to Oct 5, 2015
    • Employees · 14 to 13
      Mar 30, 2015 to Oct 5, 2015
    • Accounts · 937 to 1,069
      Apr 14, 2014 to Mar 30, 2015
    • Advisory activities · 5 to 4
      Apr 14, 2014 to Mar 30, 2015
    • BD registered reps · 10 to 11
      Apr 14, 2014 to Mar 30, 2015
    • Assets in custody · 7400000.0 to unset
      Apr 14, 2014 to Mar 30, 2015
    • Custody of client assets · true to false
      Apr 14, 2014 to Mar 30, 2015
    • Private funds · 1 to unset
      Apr 14, 2014 to Mar 30, 2015
    • Discretionary RAUM · $569M to $635M
      Apr 14, 2014 to Mar 30, 2015
    • Non-discretionary RAUM · $419,878 to $420,835
      Apr 14, 2014 to Mar 30, 2015
    • RAUM · $570M to $636M
      Apr 14, 2014 to Mar 30, 2015
    • Accounts · 915 to 937
      Oct 29, 2013 to Mar 31, 2014
    • Assets in custody · $4.7M to $7.4M
      Oct 29, 2013 to Mar 31, 2014
    • Discretionary RAUM · $552M to $569M
      Oct 29, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $395,279 to $419,878
      Oct 29, 2013 to Mar 31, 2014
    • RAUM · $552M to $570M
      Oct 29, 2013 to Mar 31, 2014
    • Accounts · 876 to 915
      Aug 13, 2013 to Oct 29, 2013
    • Advisory activities · 4 to 5
      Aug 13, 2013 to Oct 29, 2013
    • Assets in custody · unset to 4700000.0
      Aug 13, 2013 to Oct 29, 2013
    • Custody of client assets · false to true
      Aug 13, 2013 to Oct 29, 2013
    • Private funds · unset to 1
      Aug 13, 2013 to Oct 29, 2013
    • Discretionary RAUM · $505M to $552M
      Aug 13, 2013 to Oct 29, 2013
    • Non-discretionary RAUM · $247,371 to $395,279
      Aug 13, 2013 to Oct 29, 2013
    • RAUM · $505M to $552M
      Aug 13, 2013 to Oct 29, 2013
    • Accounts · 752 to 876
      Jan 29, 2013 to Mar 18, 2013
    • Discretionary RAUM · $437M to $505M
      Jan 29, 2013 to Mar 18, 2013
    • Non-discretionary RAUM · $228,584 to $247,371
      Jan 29, 2013 to Mar 18, 2013
    • RAUM · $437M to $505M
      Jan 29, 2013 to Mar 18, 2013
    • Advisory employees · unset to 6.0
      Oct 24, 2012 to Jan 29, 2013
    • BD registered reps · unset to 10.0
      Oct 24, 2012 to Jan 29, 2013
    • Commission compensation · true to false
      Oct 24, 2012 to Jan 29, 2013
    • Employees · unset to 14.0
      Oct 24, 2012 to Jan 29, 2013
    • State-registered IARs · unset to 1.0
      Oct 24, 2012 to Jan 29, 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