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

I•••••••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 106520SEC 801-40161IAPD
Latest filing Mar 1, 2023
First filing on the tape Jan 9, 2012 · 24 filings
RAUM
$4.5B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
61%
$2.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$4.5B as of Mar 30, 2022
Jan 9, 2012$2.0B then
HNW client RAUM$2.6B as of Mar 30, 2022
Mar 29, 2018$525M then
State-registered IARs (5.B.3)10 as of Mar 30, 2022
Apr 1, 20130 then
Employees (5.A)28 as of Mar 30, 2022
Apr 1, 201332 then
Private funds: no history
RAUM +16% over the last fiscal year+15% a year over threeIARs 0 to 10
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
RAUM per advisor
$447MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
93derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.9MderivedHNW RAUM over HNW clients
Average account
$4.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+21%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$4.5B, 380 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)
  • 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$2.6B58%
  • Pension and profit-sharing plans$796M18%
  • Charitable organizations$544M12%
  • Corporations and businesses$415M9.3%
  • Individuals$112M2.5%
Individual clients
398reported
HNW clients
528reported
Pension plan clients
12reported
Charitable clients
55reported
Accounts
1,037reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$4.5B for 380 clientsreported
Compensation
% of AUM, fixedreported
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
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
    • L•••••••• D••••• W••••• · Member, Chairman, Managercontrol
      since 12/2010 · owns less than 5%
    • L•••••••• P•••••• S• · Member, President, Ceocontrol
      since 12/2010 · owns less than 5%
    • N•••••••• L••••• T•••••• · Chief Compliance Officercontrol
      since 02/2022 · owns less than 5%
    • R•••••••• C••••••• D• · Member, Directorcontrol
      since 12/2015 · owns less than 5%
    Entity owners
    • C• P•••••• W•••••• L•• · Owner
      direct · owns 75% or more
    • C• F•••••••• C•••• · Owner
      indirect · owns 75% or more of C• U• H•••••••• I••• · public reporting company
    • C• U• H•••••••• I••• · Owner
      indirect · owns 75% or more of C• U•• L••
    • C• U•• L•• · Owner
      indirect · owns 75% or more of C••• T••••• L••
    • C••• H•••••••• L•• · Owner
      indirect · owns 75% or more of C• P•••••• W•••••• L••
    • C••• T••••• L•• · Owner
      indirect · owns 75% or more of C••• H•••••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Succession · true to false
      Oct 26, 2022 to Feb 7, 2023
    • Related adviser · false to true
      Mar 30, 2022 to Oct 26, 2022
    • Succession · false to true
      Mar 30, 2022 to Oct 26, 2022
    • Accounts · 1,255 to 1,037
      Mar 23, 2021 to Mar 30, 2022
    • Advisory employees · 16 to 14
      Mar 23, 2021 to Mar 30, 2022
    • Charity clients · 46 to 55
      Mar 23, 2021 to Mar 30, 2022
    • Corporate clients · 79 to 44
      Mar 23, 2021 to Mar 30, 2022
    • HNW clients · 243 to 528
      Mar 23, 2021 to Mar 30, 2022
    • Individual clients · 524 to 398
      Mar 23, 2021 to Mar 30, 2022
    • Assets in custody · $3.9B to $4.5B
      Mar 23, 2021 to Mar 30, 2022
    • Employees · 34 to 28
      Mar 23, 2021 to Mar 30, 2022
    • State-registered IARs · 0 to 10
      Mar 23, 2021 to Mar 30, 2022
    • Discretionary RAUM · $3.2B to $3.8B
      Mar 23, 2021 to Mar 30, 2022
    • HNW RAUM · $1.0B to $2.6B
      Mar 23, 2021 to Mar 30, 2022
    • Individual RAUM · $139M to $112M
      Mar 23, 2021 to Mar 30, 2022
    • Non-discretionary RAUM · $621M to $629M
      Mar 23, 2021 to Mar 30, 2022
    • Pension RAUM · $713M to $796M
      Mar 23, 2021 to Mar 30, 2022
    • RAUM · $3.9B to $4.5B
      Mar 23, 2021 to Mar 30, 2022
    • Accounts · 1,189 to 1,255
      Jan 8, 2021 to Mar 23, 2021
    • Advisory employees · 15 to 16
      Jan 8, 2021 to Mar 23, 2021
    • Charity clients · 42 to 46
      Jan 8, 2021 to Mar 23, 2021
    • Corporate clients · 68 to 79
      Jan 8, 2021 to Mar 23, 2021
    • HNW clients · 217 to 243
      Jan 8, 2021 to Mar 23, 2021
    • Individual clients · 513 to 524
      Jan 8, 2021 to Mar 23, 2021
    • Pension plan clients · 10 to 12
      Jan 8, 2021 to Mar 23, 2021
    • Assets in custody · $3.5B to $3.9B
      Jan 8, 2021 to Mar 23, 2021
    • Employees · 36 to 34
      Jan 8, 2021 to Mar 23, 2021
    • Discretionary RAUM · $3.0B to $3.2B
      Jan 8, 2021 to Mar 23, 2021
    • HNW RAUM · $930M to $1.0B
      Jan 8, 2021 to Mar 23, 2021
    • Individual RAUM · $136M to $139M
      Jan 8, 2021 to Mar 23, 2021
    • Non-discretionary RAUM · $532M to $621M
      Jan 8, 2021 to Mar 23, 2021
    • Pension RAUM · $835M to $713M
      Jan 8, 2021 to Mar 23, 2021
    • RAUM · $3.5B to $3.9B
      Jan 8, 2021 to Mar 23, 2021
    • Accounts · 1,157 to 1,189
      Mar 28, 2019 to Mar 12, 2020
    • Charity clients · 44 to 42
      Mar 28, 2019 to Mar 12, 2020
    • Corporate clients · 51 to 68
      Mar 28, 2019 to Mar 12, 2020
    • HNW clients · 185 to 217
      Mar 28, 2019 to Mar 12, 2020
    • Individual clients · 520 to 513
      Mar 28, 2019 to Mar 12, 2020
    • Pension plan clients · 8 to 10
      Mar 28, 2019 to Mar 12, 2020
    • Assets in custody · $3.0B to $3.5B
      Mar 28, 2019 to Mar 12, 2020
    Signals
    16 dated events
    • I•••••••• C••••••• L••'s advisors moved to C•••••• (New York, NY): 9 of 9 registered, on the same day
      Mar 31, 2023 · Firm absorbed (people side) · derived
    • L••••• E• W•••• left I•••••••• C••••••• L•• for C•••••• (registered 2023-01-27)
      Mar 31, 2023 · Advisor changed firm · fact
    • M•••••• C• A••••• left I•••••••• C••••••• L•• for C•••••• (registered 2023-01-27)
      Mar 31, 2023 · Advisor changed firm · fact
    • P••••• S• L••••••• left I•••••••• C••••••• L•• for C•••••• (registered 2023-01-27)
      Mar 31, 2023 · Advisor changed firm · fact
    • H•••• P••• R••••• left I•••••••• C••••••• L•• for C•••••• (registered 2023-01-27)
      Mar 31, 2023 · Advisor changed firm · fact
    • T••••• B•••••• D••••• left I•••••••• C••••••• L•• for C•••••• (registered 2023-01-27)
      Mar 31, 2023 · Advisor changed firm · fact
    • R•••••• C••••••••• left I•••••••• C••••••• L•• for C•••••• (registered 2023-01-27)
      Mar 31, 2023 · Advisor changed firm · fact
    • R••••• K••• M•••••• left I•••••••• C••••••• L•• for C•••••• (registered 2023-01-27)
      Mar 31, 2023 · Advisor changed firm · fact
    • A••••• S••••• left I•••••••• C••••••• L•• for C•••••• (registered 2023-01-27)
      Mar 31, 2023 · Advisor changed firm · fact
    • R•••••• W•••• H••••• left I•••••••• C••••••• L•• for C•••••• (registered 2023-01-27)
      Mar 31, 2023 · Advisor changed firm · fact
    • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of I•••••••• C••••••• L••
      Feb 7, 2023 · Control person joined · fact
    • I•••••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Oct 26, 2022 · Succession (Item 4) · fact
    • T•••••• M•••••• G••••••• left I•••••••• C••••••• L•• for I•••••• I••••••••• M••••••••• L•• (registered 2021-11-12)
      Aug 31, 2022 · Advisor changed firm · fact
    • I•••••••• C••••••• L•• reported 10 state-registered advisory representatives, up from 0 (2021-03-23 to 2022-03-30)
      Mar 30, 2022 · Advisor headcount change · derived
    • Barr Robert Deans (Senior Vice President, Manager) no longer on Schedule A of I•••••••• C••••••• L•• (listed 2021-03-23, absent 2022-03-30)
      Mar 30, 2022 · Control person left · inference
    • S. Alan Berlin (Trustee) no longer on Schedule A of I•••••••• C••••••• L•• (listed 2018-03-29, absent 2019-03-28)
      Mar 28, 2019 · Control person left · inference
    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