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••••••• B••••••• M••••••••• G•••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 107838SEC 801-16384IAPD
Latest filing Mar 12, 2020
First filing on the tape Jan 26, 2012 · 9 filings
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$108M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$108M as of Mar 12, 2020
Jan 26, 2012$128M then
HNW client RAUM$95.0M as of Mar 12, 2020
Feb 5, 2018$106M then
State-registered IARs (5.B.3)0 as of Mar 12, 2020
Jan 26, 20120 then
Employees (5.A)3 as of Mar 12, 2020
Feb 4, 20132 then
Private funds: no history
RAUM +0.0% over the last fiscal year-1.8% a year over threeIARs 0 to 0offices 3 to 0
Practice profile
derived from the filing of Mar 12, 2020; 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
$2.2MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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$95.0M88%
  • Individuals$12.9M12%
Individual clients
51reported
HNW clients
44reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
95reported
Financial planning clients
1-10reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• C••• · Chairman/Chief Compliance Officercontrol
        since 04/1981 · owns 50% to 75%
      • F•••••••• J••••• A••••• · Presidentcontrol
        since 03/2005 · owns 50% to 75%
      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
      • Advisory activities · 3 to 2
        Feb 27, 2019 to Mar 12, 2020
      • Employees · 4 to 3
        Feb 27, 2019 to Mar 12, 2020
      • Other offices · 3 to 0
        Feb 27, 2019 to Mar 12, 2020
      • Accounts · 130 to 95
        Feb 5, 2018 to Feb 27, 2019
      • Employees · 3 to 4
        Feb 5, 2018 to Feb 27, 2019
      • Other offices · 2 to 3
        Feb 5, 2018 to Feb 27, 2019
      • Discretionary RAUM · $120M to $108M
        Feb 5, 2018 to Feb 27, 2019
      • HNW RAUM · $106M to $95.0M
        Feb 5, 2018 to Feb 27, 2019
      • Individual RAUM · $14.2M to $12.9M
        Feb 5, 2018 to Feb 27, 2019
      • RAUM · $120M to $108M
        Feb 5, 2018 to Feb 27, 2019
      • Accounts · 122 to 130
        Feb 24, 2017 to Feb 5, 2018
      • Advisory employees · 2 to 3
        Feb 24, 2017 to Feb 5, 2018
      • HNW clients · unset to 44.0
        Feb 24, 2017 to Feb 5, 2018
      • Individual clients · unset to 51.0
        Feb 24, 2017 to Feb 5, 2018
      • Employees · 2 to 3
        Feb 24, 2017 to Feb 5, 2018
      • Other offices · unset to 2.0
        Feb 24, 2017 to Feb 5, 2018
      • Discretionary RAUM · $114M to $120M
        Feb 24, 2017 to Feb 5, 2018
      • HNW RAUM · unset to 105832651.0
        Feb 24, 2017 to Feb 5, 2018
      • Individual RAUM · unset to 14240355.0
        Feb 24, 2017 to Feb 5, 2018
      • RAUM · $114M to $120M
        Feb 24, 2017 to Feb 5, 2018
      • Accounts · 136 to 122
        Feb 8, 2016 to Feb 24, 2017
      • Financial planning clients · 11-25 to 1-10
        Feb 8, 2016 to Feb 24, 2017
      • Discretionary RAUM · $133M to $114M
        Feb 8, 2016 to Feb 24, 2017
      • RAUM · $133M to $114M
        Feb 8, 2016 to Feb 24, 2017
      • Accounts · 151 to 136
        Feb 23, 2015 to Feb 8, 2016
      • Discretionary RAUM · $154M to $133M
        Feb 23, 2015 to Feb 8, 2016
      • RAUM · $154M to $133M
        Feb 23, 2015 to Feb 8, 2016
      • Accounts · 159 to 151
        Jan 30, 2014 to Feb 23, 2015
      • Discretionary RAUM · $154M to $154M
        Jan 30, 2014 to Feb 23, 2015
      • RAUM · $154M to $154M
        Jan 30, 2014 to Feb 23, 2015
      • Accounts · 152 to 159
        Feb 4, 2013 to Jan 30, 2014
      • Discretionary RAUM · $134M to $154M
        Feb 4, 2013 to Jan 30, 2014
      • RAUM · $134M to $154M
        Feb 4, 2013 to Jan 30, 2014
      • Accounts · 159 to 152
        Jan 26, 2012 to Feb 4, 2013
      • Advisory employees · unset to 2.0
        Jan 26, 2012 to Feb 4, 2013
      • Employees · unset to 2.0
        Jan 26, 2012 to Feb 4, 2013
      • Discretionary RAUM · $128M to $134M
        Jan 26, 2012 to Feb 4, 2013
      • RAUM · $128M to $134M
        Jan 26, 2012 to Feb 4, 2013
      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