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
R•••••• A•••• M••••••••• C•••
Latest filing Mar 14, 2025
First filing on the tape Mar 21, 2012 · 18 filings
SEC status approved since Jun 15, 1978
RAUM
$362M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$283M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$362M as of Mar 14, 2025
Mar 21, 2012$121M then
HNW client RAUM$280M as of Mar 14, 2025
Mar 28, 2018$198M then
State-registered IARs (5.B.3)0 as of Mar 14, 2025
Mar 21, 20120 then
Employees (5.A)4 as of Mar 14, 2025
Mar 18, 20133 then
Private funds1 as of Mar 14, 2024
Mar 21, 20121 then
RAUM +14% over the last fiscal year+2.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2025; 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
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%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
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$280M77%
- Charitable organizations$74.4M21%
- Pension and profit-sharing plans$4.7M1.3%
- Individuals$3.2M0.9%
- Individual clients
- 6reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 119reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- A•••• S•••• W•••••• to F•••• M•••••••• C•• L••Aug 4, 2025 · RIA to affiliated broker-dealer or bank
- C••••••••• E•••• V•••• to A•••• M••••••• C•••••• L••Aug 4, 2025 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••• P••••••• L••• | Hedge Fund | $5.9M | 3 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- V••••• E••••• G••••• · Presidentcontrolsince 03/1978 · owns 50% to 75%
- W••••••• A••••• S•••• · Senior V.P./Treasurer/Chief Compliance Officercontrolsince 09/1981 · owns 50% to 75%
Related persons
Schedule D 7.A
- R•••••• A•••• M••••••••• P•••••••• L•••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 3 to 2Mar 25, 2024 to Mar 14, 2025
- Pooled vehicle clients · 1 to 0Mar 25, 2024 to Mar 14, 2025
- Private funds · 1 to unsetMar 25, 2024 to Mar 14, 2025
- Discretionary RAUM · $318M to $362MMar 25, 2024 to Mar 14, 2025
- HNW RAUM · $244M to $280MMar 25, 2024 to Mar 14, 2025
- Individual RAUM · $2.4M to $3.2MMar 25, 2024 to Mar 14, 2025
- Pension RAUM · $4.2M to $4.7MMar 25, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $5.9M to $0Mar 25, 2024 to Mar 14, 2025
- RAUM · $318M to $362MMar 25, 2024 to Mar 14, 2025
- Accounts · 117 to 119Mar 28, 2023 to Mar 14, 2024
- Individual clients · unset to 6.0Mar 28, 2023 to Mar 14, 2024
- Discretionary RAUM · $268M to $318MMar 28, 2023 to Mar 14, 2024
- HNW RAUM · $209M to $244MMar 28, 2023 to Mar 14, 2024
- Individual RAUM · $1.5M to $2.4MMar 28, 2023 to Mar 14, 2024
- Pension RAUM · $3.7M to $4.2MMar 28, 2023 to Mar 14, 2024
- Pooled vehicle RAUM · $5.1M to $5.9MMar 28, 2023 to Mar 14, 2024
- RAUM · $268M to $318MMar 28, 2023 to Mar 14, 2024
- Accounts · 112 to 117Mar 30, 2022 to Mar 28, 2023
- Advisory employees · 2 to 3Mar 30, 2022 to Mar 28, 2023
- Employees · 3 to 4Mar 30, 2022 to Mar 28, 2023
- Financial planning clients · unset to 0Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $335M to $268MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $249M to $209MMar 30, 2022 to Mar 28, 2023
- Individual RAUM · $1.7M to $1.5MMar 30, 2022 to Mar 28, 2023
- Pension RAUM · $7.1M to $3.7MMar 30, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $6.8M to $5.1MMar 30, 2022 to Mar 28, 2023
- RAUM · $335M to $268MMar 30, 2022 to Mar 28, 2023
- Accounts · 114 to 112Mar 24, 2021 to Mar 30, 2022
- HNW clients · 47 to 49Mar 24, 2021 to Mar 30, 2022
- Individual clients · 5.0 to unsetMar 24, 2021 to Mar 30, 2022
- Discretionary RAUM · $288M to $335MMar 24, 2021 to Mar 30, 2022
- HNW RAUM · $214M to $249MMar 24, 2021 to Mar 30, 2022
- Individual RAUM · $2.1M to $1.7MMar 24, 2021 to Mar 30, 2022
- Pension RAUM · $6.5M to $7.1MMar 24, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $6.6M to $6.8MMar 24, 2021 to Mar 30, 2022
- RAUM · $288M to $335MMar 24, 2021 to Mar 30, 2022
- Accounts · 115 to 114Jun 22, 2020 to Mar 24, 2021
- Discretionary RAUM · $269M to $288MJun 22, 2020 to Mar 24, 2021
- HNW RAUM · $196M to $214MJun 22, 2020 to Mar 24, 2021
- Individual RAUM · $1.8M to $2.1MJun 22, 2020 to Mar 24, 2021
Signals
3 dated events
- R•••••• A•••• M••••••••• C••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $362.4M)Sep 2, 2025 · Left the SEC roster · derived
- A•••• S•••• W•••••• left R•••••• A•••• M••••••••• C••• for F•••• M•••••••• C•• L•• (registered 2025-08-12)Aug 4, 2025 · Advisor changed firm · fact
- C••••••••• E•••• V•••• left R•••••• A•••• M••••••••• C••• for A•••• M••••••• C•••••• L•• (registered 2025-07-02)Aug 4, 2025 · Advisor changed firm · fact
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