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••••••••• I••••••••• I••

Former SEC-registered adviserRedmond, WashingtonCRD 107493SEC 801-35176IAPD
Latest filing Mar 25, 2018
First filing on the tape Feb 3, 2012 · 10 filings
RAUM
$465M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
100%
$465M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$465M as of Mar 25, 2018
Feb 3, 2012$1.6B then
HNW client RAUM: $465M
State-registered IARs (5.B.3)2 as of Mar 25, 2018
Feb 3, 20120 then
Employees (5.A)7 as of Mar 25, 2018
Mar 4, 20134 then
Private funds2 as of Mar 22, 2016
Feb 3, 20121 then
RAUM -56% over the last fiscal year-29% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 25, 2018; every figure names its basis
RAUM per advisor
$233MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
75%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-56%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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$465M100%
  • Individuals$100,0000.0%
Individual clients
n/areported
HNW clients
226reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
226reported
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
Every departureEvery arrival
Private funds
2 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
I••••• F•••• L•no longer reportedHedge Fund$71.9M25Feb 3, 2012
S••••••••• I••••• F•••• L•no longer reportedOther Private Fund$55.7M29Mar 22, 2016
Owners and control persons
Schedule A and B, latest filing
  • G•••• D•••••• R••••• · President, Chief Compliance Officercontrol
    since 07/1989 · owns 75% or more
  • M•••••• D••••• K•• · Director Of Financial Planning
    since 12/2010 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Valhalla, NY4 employees
What changed
consecutive filings, newest first
  • Accounts · 182 to 226
    Jan 19, 2018 to Mar 25, 2018
  • HNW clients · 191 to 226
    Jan 19, 2018 to Mar 25, 2018
  • Individual clients · 31.0 to unset
    Jan 19, 2018 to Mar 25, 2018
  • Assets in custody · 557849226.0 to unset
    Jan 19, 2018 to Mar 25, 2018
  • Financial planning clients · 51-100 to 101-250
    Jan 19, 2018 to Mar 25, 2018
  • State-registered IARs · 3 to 2
    Jan 19, 2018 to Mar 25, 2018
  • Discretionary RAUM · $558M to $348M
    Jan 19, 2018 to Mar 25, 2018
  • HNW RAUM · $384M to $465M
    Jan 19, 2018 to Mar 25, 2018
  • Individual RAUM · $11.6M to $100,000
    Jan 19, 2018 to Mar 25, 2018
  • Non-discretionary RAUM · $498M to $118M
    Jan 19, 2018 to Mar 25, 2018
  • RAUM · $1.1B to $465M
    Jan 19, 2018 to Mar 25, 2018
  • HNW clients · unset to 191.0
    Mar 30, 2017 to Jan 9, 2018
  • Individual clients · unset to 31.0
    Mar 30, 2017 to Jan 9, 2018
  • Other offices · unset to 1.0
    Mar 30, 2017 to Jan 9, 2018
  • HNW RAUM · unset to 384165765.0
    Mar 30, 2017 to Jan 9, 2018
  • Individual RAUM · unset to 11625000.0
    Mar 30, 2017 to Jan 9, 2018
  • Accounts · 233 to 182
    May 5, 2016 to Mar 30, 2017
  • Advisory employees · 4 to 6
    May 5, 2016 to Mar 30, 2017
  • Advisory activities · 6 to 5
    May 5, 2016 to Mar 30, 2017
  • Assets in custody · $71.9M to $558M
    May 5, 2016 to Mar 30, 2017
  • Custody of client assets · true to false
    May 5, 2016 to Mar 30, 2017
  • Employees · 4 to 7
    May 5, 2016 to Mar 30, 2017
  • State-registered IARs · 4 to 3
    May 5, 2016 to Mar 30, 2017
  • Private funds · 2 to unset
    May 5, 2016 to Mar 30, 2017
  • Discretionary RAUM · $396M to $558M
    May 5, 2016 to Mar 30, 2017
  • Non-discretionary RAUM · $679M to $498M
    May 5, 2016 to Mar 30, 2017
  • RAUM · $1.1B to $1.1B
    May 5, 2016 to Mar 30, 2017
  • Accounts · 165 to 233
    Mar 4, 2015 to Mar 22, 2016
  • Advisory employees · 3 to 4
    Mar 4, 2015 to Mar 22, 2016
  • Employees · 5 to 4
    Mar 4, 2015 to Mar 22, 2016
  • State-registered IARs · 2 to 4
    Mar 4, 2015 to Mar 22, 2016
  • Private funds · 1 to 2
    Mar 4, 2015 to Mar 22, 2016
  • Discretionary RAUM · $456M to $396M
    Mar 4, 2015 to Mar 22, 2016
  • Non-discretionary RAUM · $843M to $679M
    Mar 4, 2015 to Mar 22, 2016
  • RAUM · $1.3B to $1.1B
    Mar 4, 2015 to Mar 22, 2016
  • Accounts · 172 to 165
    Mar 6, 2014 to Mar 4, 2015
  • Assets in custody · $57.3M to $71.9M
    Mar 6, 2014 to Mar 4, 2015
  • Employees · 3 to 5
    Mar 6, 2014 to Mar 4, 2015
  • Financial planning clients · 26-50 to 51-100
    Mar 6, 2014 to Mar 4, 2015
  • State-registered IARs · 3 to 2
    Mar 6, 2014 to Mar 4, 2015
Signals
1 dated events
  • S••••••••• I••••••••• I•• reported RAUM $465.4M, down 56% from $1.1B (2018-01-19 to 2018-03-25)
    Mar 25, 2018 · RAUM change · derived
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