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

S••••••• A•••• M••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 107162SEC 801-37198IAPD
Latest filing Mar 2, 2023
First filing on the tape Nov 18, 2011 · 15 filings
RAUM
$295M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
91%
$268M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$295M as of Mar 2, 2023
Mar 21, 2012$132M then
HNW client RAUM$267M as of Mar 2, 2023
Mar 5, 2018$171M then
State-registered IARs (5.B.3)0 as of Mar 2, 2023
Mar 18, 20130 then
Employees (5.A)4 as of Mar 2, 2023
Mar 18, 20135 then
Private funds: no history
RAUM +0.0% over the last fiscal year+8.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 2023; 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
$3.0MderivedHNW RAUM over HNW clients
Average account
$2.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
6.8%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
+0.0%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 assets, fixed feesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$267M90%
  • State and municipal entities$12.7M4.3%
  • Corporations and businesses$7.6M2.6%
  • Charitable organizations$7.3M2.5%
  • Individuals$594,4280.2%
Individual clients
10reported
HNW clients
90reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
106reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
      • A•••••••• J••••••• F••••••• · Vice President- Administrationcontrol
        since 07/1990 · owns less than 5%
      • C••••••• J••••••• N••• · Vice Presidentcontrol
        since 09/1997 · owns less than 5%
      • T••••••••• J••••• D••••• · President, Chief Compliance Officercontrol
        since 07/1990 · owns 75% or more
      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
      • Discretionary RAUM · $286M to $286M
        Feb 3, 2022 to Mar 2, 2023
      • Non-discretionary RAUM · $9.8M to $9.8M
        Feb 3, 2022 to Mar 2, 2023
      • Accounts · 110 to 106
        Oct 22, 2021 to Feb 3, 2022
      • HNW clients · 103 to 90
        Oct 22, 2021 to Feb 3, 2022
      • Individual clients · 3 to 10
        Oct 22, 2021 to Feb 3, 2022
      • Discretionary RAUM · $272M to $286M
        Oct 22, 2021 to Feb 3, 2022
      • HNW RAUM · $268M to $267M
        Oct 22, 2021 to Feb 3, 2022
      • Individual RAUM · $60,298 to $594,428
        Oct 22, 2021 to Feb 3, 2022
      • Non-discretionary RAUM · $13.1M to $9.8M
        Oct 22, 2021 to Feb 3, 2022
      • RAUM · $285M to $295M
        Oct 22, 2021 to Feb 3, 2022
      • Accounts · 93 to 110
        Jun 30, 2020 to Feb 4, 2021
      • Advisory employees · 3 to 2
        Jun 30, 2020 to Feb 4, 2021
      • HNW clients · 83 to 103
        Jun 30, 2020 to Feb 4, 2021
      • Individual clients · 10 to 3
        Jun 30, 2020 to Feb 4, 2021
      • Employees · 5 to 4
        Jun 30, 2020 to Feb 4, 2021
      • Discretionary RAUM · $226M to $272M
        Jun 30, 2020 to Feb 4, 2021
      • HNW RAUM · $217M to $268M
        Jun 30, 2020 to Feb 4, 2021
      • Individual RAUM · $2.7M to $60,298
        Jun 30, 2020 to Feb 4, 2021
      • Non-discretionary RAUM · $7.9M to $13.1M
        Jun 30, 2020 to Feb 4, 2021
      • RAUM · $234M to $285M
        Jun 30, 2020 to Feb 4, 2021
      • Accounts · 86 to 93
        Feb 26, 2019 to Mar 3, 2020
      • HNW clients · 82 to 83
        Feb 26, 2019 to Mar 3, 2020
      • Individual clients · unset to 10.0
        Feb 26, 2019 to Mar 3, 2020
      • Discretionary RAUM · $173M to $226M
        Feb 26, 2019 to Mar 3, 2020
      • HNW RAUM · $169M to $217M
        Feb 26, 2019 to Mar 3, 2020
      • Individual RAUM · $634,331 to $2.7M
        Feb 26, 2019 to Mar 3, 2020
      • Non-discretionary RAUM · $6.9M to $7.9M
        Feb 26, 2019 to Mar 3, 2020
      • RAUM · $179M to $234M
        Feb 26, 2019 to Mar 3, 2020
      • Accounts · 83 to 86
        Mar 5, 2018 to Feb 26, 2019
      • HNW clients · 74 to 82
        Mar 5, 2018 to Feb 26, 2019
      • Individual clients · 9.0 to unset
        Mar 5, 2018 to Feb 26, 2019
      • Discretionary RAUM · $168M to $173M
        Mar 5, 2018 to Feb 26, 2019
      • HNW RAUM · $171M to $169M
        Mar 5, 2018 to Feb 26, 2019
      • Individual RAUM · $4.3M to $634,331
        Mar 5, 2018 to Feb 26, 2019
      • Non-discretionary RAUM · $7.3M to $6.9M
        Mar 5, 2018 to Feb 26, 2019
      • RAUM · $175M to $179M
        Mar 5, 2018 to Feb 26, 2019
      • Accounts · 85 to 83
        Feb 27, 2017 to Mar 5, 2018
      • HNW clients · unset to 74.0
        Feb 27, 2017 to Mar 5, 2018
      • Individual clients · unset to 9.0
        Feb 27, 2017 to Mar 5, 2018
      • Other offices · unset to 0.0
        Feb 27, 2017 to Mar 5, 2018
      Signals
      4 dated events
      • J•••••• N••• C•••••• left S••••••• A•••• M••••••••• I••• for C•••• H••••• A•••• M••••••••• L•• (registered 2023-02-01)
        Mar 31, 2023 · Advisor changed firm · fact
      • J•••• D••••• T••••••••• left S••••••• A•••• M••••••••• I••• for C•••• H••••• A•••• M••••••••• L•• (registered 2023-02-01)
        Mar 31, 2023 · Advisor changed firm · fact
      • 2 advisors left S••••••• A•••• M••••••••• I••• (New York, NY) for C•••• H••••• A•••• M••••••••• L•• on the same day
        Mar 31, 2023 · Team lift-out · derived
      • Randolph Richard Doll (Sr. Vice President) no longer on Schedule A of S••••••• A•••• M••••••••• I••• (listed 2020-06-30, absent 2021-02-04)
        Feb 4, 2021 · 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