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

Reich & Tang Asset Management, LLC

Former SEC-registered adviserNew York, New YorkCRD 106186SEC 801-47230IAPD
Legal name Reich & Tang Asset Management,LLC
Latest filing Mar 30, 2015
First filing on the tape Mar 29, 2012 · 11 filings
RAUM
$18B
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
95
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$18B as of Mar 30, 2015
Mar 29, 2012$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2015
Mar 28, 20130 then
Employees (5.A)95 as of Mar 30, 2015
Mar 28, 2013100 then
Private funds1 as of Mar 28, 2013
Mar 29, 20121 then
RAUM +5.0% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2015; 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
$1.8BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+5.0%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Custody
$2.0B, 1 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
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
10reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.0B for 1 clientsreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      U.S. Dollar Floating Rate Fund, Ltd.no longer reportedOther Private Fund$2.0B995Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M Beverly Bearden · Applicant Board Membercontrol
        since 05/2014 · owns less than 5%
      • John Christopher Brancazio · Chief Compliance Officercontrol
        since 01/2008 · owns less than 5%
      • Richard Desanctis · Coocontrol
        since 01/2008 · owns less than 5%
      • Joseph Jerkovich · Cfocontrol
        since 01/2008 · owns less than 5%
      • Peter Michael Lydon · President, Ceo And Applicant Board Membercontrol
        since 09/2009 · owns less than 5%
      • Matthew Thomas Nelson · Senior Vice President, Chief Investment Officercontrol
        since 06/2012 · owns less than 5%
      • Dunbar Jeffrey Plunkett · Applicant Board Membercontrol
        since 11/2007 · owns less than 5%
      Entity owners
      • Natixis Global Asset Management, L.P. · 100% Ownership Interest
        direct · owns 75% or more
      • Bpce · Shareholder
        indirect · owns 50% to 75% of Natixis
      • Natixis · Shareholder
        indirect · owns 75% or more of Natixis Global Asset Management
      • Natixis Global Asset Management · Shareholder
        indirect · owns 75% or more of Natixis Global Asset Management Participations 1
      • Natixis Global Asset Management Participations 1 · Shareholder
        indirect · owns 75% or more of Natixis U.S. Holdings, Inc.
      • Natixis Global Asset Management, LLC · General Partner
        indirect · owns F of Natixis Global Asset Management, L.P.
      • Natixis U.S. Holdings, Inc. · Limited Partner
        indirect · owns 75% or more of Natixis Global Asset Management, L.P.
      • Natixis U.S. Holdings, Inc. · Member
        indirect · owns 75% or more of Natixis Global Asset Management, LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 10
        Jun 24, 2014 to Mar 30, 2015
      • BD registered reps · 37 to 32
        Jun 24, 2014 to Mar 30, 2015
      • Assets in custody · $1.9B to $2.0B
        Jun 24, 2014 to Mar 30, 2015
      • Employees · 100 to 95
        Jun 24, 2014 to Mar 30, 2015
      • Discretionary RAUM · $17B to $18B
        Jun 24, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $70.2M to $37.0M
        Jun 24, 2014 to Mar 30, 2015
      • RAUM · $17B to $18B
        Jun 24, 2014 to Mar 30, 2015
      • Assets in custody · $2.3B to $1.9B
        Jan 9, 2014 to Mar 31, 2014
      • Private funds · 1 to unset
        Jan 9, 2014 to Mar 31, 2014
      • Discretionary RAUM · $11B to $17B
        Jan 6, 2014 to Jan 9, 2014
      • Non-discretionary RAUM · $524M to $70.2M
        Jan 6, 2014 to Jan 9, 2014
      • RAUM · $12B to $17B
        Jan 6, 2014 to Jan 9, 2014
      • Accounts · 18 to 12
        Aug 9, 2012 to Mar 28, 2013
      • Advisory employees · unset to 20.0
        Aug 9, 2012 to Mar 28, 2013
      • BD registered reps · unset to 37.0
        Aug 9, 2012 to Mar 28, 2013
      • Assets in custody · $2.5B to $2.3B
        Aug 9, 2012 to Mar 28, 2013
      • Employees · unset to 100.0
        Aug 9, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Aug 9, 2012 to Mar 28, 2013
      • Discretionary RAUM · $13B to $11B
        Aug 9, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $391M to $524M
        Aug 9, 2012 to Mar 28, 2013
      • RAUM · $13B to $12B
        Aug 9, 2012 to Mar 28, 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