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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

F•• C••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 108322SEC 801-57196IAPD
Latest filing Mar 24, 2017
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$307M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$307M as of Mar 24, 2017
Mar 29, 2012$153M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2017
Apr 1, 20131 then
Employees (5.A)10 as of Mar 24, 2017
Apr 1, 20138 then
Private funds: no history
RAUM -1.7% over the last fiscal year+1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2017; 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
unknownderivedHNW RAUM over HNW clients
Average account
$889,063derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
-1.7%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
345reported
Financial planning clients
51-100reported
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
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
      • E•••• T•••••••• R••••• · Chief Operating Officer & Directorcontrol
        since 02/2006 · owns 5% to 10%
      • E••••• D••••• R• · Directorcontrol
        since 06/2007 · owns 10% to 25%
      • F•••••••• J•••••••• A••••• · Chairman, Chief Executive Officer, Chief Financial Officer, President, & Directorcontrol
        since 02/2006 · owns 25% to 50%
      • W••••••••• L•••••••• M•••••• · Managing Directorcontrol
        since 04/2010 · owns 25% to 50%
      • F•••••••• C••••••• L••••• · Consultant
        since 02/2006 · owns 5% to 10%
      • R••••••• J•••• K••• · Chief Compliance Officer
        since 03/2016 · owns less than 5%
      Entity owners
      • T•• E••••• O• F•••••• W••••• R••••••• A•• R•••••• E••••••• · E••••• Account Of F•••••• W••••• R••••••
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      • Portland, OR
      • Valhalla, NY
      What changed
      consecutive filings, newest first
      • Accounts · 346 to 345
        Sep 28, 2016 to Mar 24, 2017
      • Advisory employees · 8 to 9
        Sep 28, 2016 to Mar 24, 2017
      • Advisory activities · 4 to 3
        Sep 28, 2016 to Mar 24, 2017
      • Employees · 9 to 10
        Sep 28, 2016 to Mar 24, 2017
      • Financial planning clients · 26-50 to 51-100
        Sep 28, 2016 to Mar 24, 2017
      • Discretionary RAUM · $285M to $278M
        Sep 28, 2016 to Mar 24, 2017
      • Non-discretionary RAUM · $27.4M to $29.0M
        Sep 28, 2016 to Mar 24, 2017
      • RAUM · $312M to $307M
        Sep 28, 2016 to Mar 24, 2017
      • Accounts · 328 to 346
        Apr 6, 2015 to Mar 31, 2016
      • Discretionary RAUM · $300M to $285M
        Apr 6, 2015 to Mar 31, 2016
      • Non-discretionary RAUM · $28.7M to $27.4M
        Apr 6, 2015 to Mar 31, 2016
      • RAUM · $329M to $312M
        Apr 6, 2015 to Mar 31, 2016
      • Accounts · 310 to 328
        Mar 27, 2014 to Apr 6, 2015
      • Employees · 8 to 9
        Mar 27, 2014 to Apr 6, 2015
      • Discretionary RAUM · $274M to $300M
        Mar 27, 2014 to Apr 6, 2015
      • Non-discretionary RAUM · $23.2M to $28.7M
        Mar 27, 2014 to Apr 6, 2015
      • RAUM · $297M to $329M
        Mar 27, 2014 to Apr 6, 2015
      • Accounts · 221 to 310
        Apr 1, 2013 to Mar 27, 2014
      • Financial planning clients · 1-10 to 26-50
        Apr 1, 2013 to Mar 27, 2014
      • State-registered IARs · 1 to 0
        Apr 1, 2013 to Mar 27, 2014
      • Discretionary RAUM · $187M to $274M
        Apr 1, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $0 to $23.2M
        Apr 1, 2013 to Mar 27, 2014
      • RAUM · $187M to $297M
        Apr 1, 2013 to Mar 27, 2014
      • Accounts · 204 to 221
        Mar 29, 2012 to Apr 1, 2013
      • Advisory employees · unset to 8.0
        Mar 29, 2012 to Apr 1, 2013
      • Advisory activities · 3 to 4
        Mar 29, 2012 to Apr 1, 2013
      • Employees · unset to 8.0
        Mar 29, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 1.0
        Mar 29, 2012 to Apr 1, 2013
      • Discretionary RAUM · $153M to $187M
        Mar 29, 2012 to Apr 1, 2013
      • RAUM · $153M to $187M
        Mar 29, 2012 to Apr 1, 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