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

P••••• G••••• S••••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 107572SEC 801-51642IAPD
Latest filing Mar 20, 2019
First filing on the tape Apr 2, 2012 · 28 filings
RAUM
$1.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.8M as of Mar 20, 2019
Apr 2, 2012$259M then
HNW client RAUM$1.8M as of Mar 20, 2019
Mar 29, 2018$2.4M then
State-registered IARs (5.B.3)1 as of Mar 20, 2019
Jan 18, 20131 then
Employees (5.A)3 as of Mar 20, 2019
Jan 18, 201322 then
Private funds1 as of Mar 28, 2016
Mar 23, 20151 then
RAUM -98% over the last fiscal year-75% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 20, 2019; every figure names its basis
RAUM per advisor
$1.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-98%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.8M100%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
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
      P•• E••••• I••••••••• U•••• F•••no longer reportedOther Private Fund$7.6M2Apr 21, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• V•••••••• R••••••• · Managing Membercontrol
        since 12/1995 · owns 50% to 75%
      • B•••••• S••••••• K•••••• · Chief Compliance Officer
        since 03/2009 · owns less than 5%
      • P•••••• M••••••• R•••••• · Equity Owner,
        since 12/1995 · owns 10% to 25%
      • R••••••• S••••• · Operations Director
        since 09/2007 · owns less than 5%
      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 · $1.9M to $1.8M
        Nov 7, 2018 to Mar 20, 2019
      • HNW RAUM · $1.9M to $1.8M
        Nov 7, 2018 to Mar 20, 2019
      • RAUM · $1.9M to $1.8M
        Nov 7, 2018 to Mar 20, 2019
      • Advisory activities · 4 to 3
        Nov 1, 2018 to Nov 7, 2018
      • Accounts · 3 to 1
        Oct 19, 2018 to Nov 1, 2018
      • HNW clients · 2 to 1
        Oct 19, 2018 to Nov 1, 2018
      • Employees · 6 to 3
        Oct 19, 2018 to Nov 1, 2018
      • Discretionary RAUM · $76.4M to $1.9M
        Oct 19, 2018 to Nov 1, 2018
      • HNW RAUM · $2.4M to $1.9M
        Oct 19, 2018 to Nov 1, 2018
      • RAUM · $76.4M to $1.9M
        Oct 19, 2018 to Nov 1, 2018
      • Accounts · 5 to 3
        Jun 14, 2017 to Mar 29, 2018
      • HNW clients · unset to 2.0
        Jun 14, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jun 14, 2017 to Mar 29, 2018
      • Discretionary RAUM · $81.9M to $76.4M
        Jun 14, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 2430000.0
        Jun 14, 2017 to Mar 29, 2018
      • RAUM · $81.9M to $76.4M
        Jun 14, 2017 to Mar 29, 2018
      • Advisory activities · 3 to 4
        Mar 31, 2017 to Jun 14, 2017
      • Accounts · 7 to 5
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 1
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 1 to 0
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 12 to 6
        Mar 30, 2016 to Mar 31, 2017
      • Private funds · 1 to unset
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $113M to $81.9M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $113M to $81.9M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 12 to 7
        Apr 14, 2015 to Mar 28, 2016
      • BD registered reps · 3 to 1
        Apr 14, 2015 to Mar 28, 2016
      • Employees · 13 to 12
        Apr 14, 2015 to Mar 28, 2016
      • Discretionary RAUM · $185M to $113M
        Apr 14, 2015 to Mar 28, 2016
      • RAUM · $185M to $113M
        Apr 14, 2015 to Mar 28, 2016
      • Related broker-dealer · true to false
        Apr 14, 2015 to Mar 28, 2016
      • Accounts · 14 to 12
        Apr 24, 2014 to Mar 23, 2015
      • Employees · 14 to 13
        Apr 24, 2014 to Mar 23, 2015
      • Discretionary RAUM · $204M to $185M
        Apr 24, 2014 to Mar 23, 2015
      • RAUM · $204M to $185M
        Apr 24, 2014 to Mar 23, 2015
      • Accounts · 15 to 14
        Mar 25, 2014 to Apr 21, 2014
      • Private funds · unset to 1
        Mar 25, 2014 to Apr 21, 2014
      • Discretionary RAUM · $223M to $204M
        Mar 25, 2014 to Apr 21, 2014
      • RAUM · $223M to $204M
        Mar 25, 2014 to Apr 21, 2014
      • RAUM · $215M to $223M
        Oct 7, 2013 to Mar 25, 2014
      • Accounts · 11 to 15
        Oct 7, 2013 to Mar 25, 2014
      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