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

A••••• M••••••••• P•••••••• I•••

Former SEC-registered adviserCRD 108333SEC 801-54532IAPD
Latest filing May 5, 2020
First filing on the tape Mar 14, 2012 · 19 filings
RAUM
$44.5M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$44.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$144M as of Mar 19, 2020
Mar 14, 2012$240M then
HNW client RAUM$68.7M as of Mar 19, 2020
Mar 29, 2018$74.3M then
State-registered IARs (5.B.3)3 as of Mar 19, 2020
Mar 7, 20130 then
Employees (5.A)3 as of Mar 19, 2020
Mar 7, 20135 then
Private funds1 as of Mar 29, 2018
Mar 14, 20121 then
RAUM -70% over the last fiscal year-35% a year over threeIARs 3 to 1
Practice profile
derived from the filing of May 5, 2020; every figure names its basis
RAUM per advisor
$44.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.4MderivedHNW RAUM over HNW clients
Average account
$2.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-40%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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)
  • 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
  • High-net-worth individuals$44.5M100%
Individual clients
n/areported
HNW clients
6reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    2 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    A••••• H••••• E••••• P•••••••• L•••no longer reportedHedge Fund$60.8M32Mar 14, 2012
    A••••• P••••••• I•• L•••no longer reportedHedge Fund$55.7M16Jul 28, 2014
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••••• L•••• · President And Ccocontrol
      since 08/1993 · 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
    • Assets in custody · 44521949.0 to unset
      Apr 30, 2020 to May 5, 2020
    • Custody of client assets · true to false
      Apr 30, 2020 to May 5, 2020
    • Assets in custody · unset to 44521949.0
      Apr 9, 2020 to Apr 30, 2020
    • Custody of client assets · false to true
      Apr 9, 2020 to Apr 30, 2020
    • State-registered IARs · 0 to 1
      Apr 9, 2020 to Apr 30, 2020
    • Accounts · 69 to 17
      Mar 19, 2020 to Apr 9, 2020
    • Advisory employees · 3 to 1
      Mar 19, 2020 to Apr 9, 2020
    • Advisory activities · 2 to 1
      Mar 19, 2020 to Apr 9, 2020
    • Charity clients · 1.0 to unset
      Mar 19, 2020 to Apr 9, 2020
    • HNW clients · 12 to 6
      Mar 19, 2020 to Apr 9, 2020
    • Individual clients · 16.0 to unset
      Mar 19, 2020 to Apr 9, 2020
    • Pension plan clients · 6.0 to unset
      Mar 19, 2020 to Apr 9, 2020
    • Employees · 3 to 1
      Mar 19, 2020 to Apr 9, 2020
    • State-registered IARs · 3 to 0
      Mar 19, 2020 to Apr 9, 2020
    • Discretionary RAUM · $141M to $44.3M
      Mar 19, 2020 to Apr 9, 2020
    • HNW RAUM · $68.7M to $44.5M
      Mar 19, 2020 to Apr 9, 2020
    • Individual RAUM · 2827433.0 to unset
      Mar 19, 2020 to Apr 9, 2020
    • Non-discretionary RAUM · $2.8M to $229,494
      Mar 19, 2020 to Apr 9, 2020
    • Pension RAUM · 49795880.0 to unset
      Mar 19, 2020 to Apr 9, 2020
    • RAUM · $144M to $44.5M
      Mar 19, 2020 to Apr 9, 2020
    • Related adviser · true to false
      Mar 19, 2020 to Apr 9, 2020
    • Accounts · 70 to 69
      Jan 13, 2020 to Feb 12, 2020
    • HNW clients · 31 to 12
      Jan 13, 2020 to Feb 12, 2020
    • Pension plan clients · 5 to 6
      Jan 13, 2020 to Feb 12, 2020
    • Discretionary RAUM · $130M to $141M
      Jan 13, 2020 to Feb 12, 2020
    • HNW RAUM · $89.4M to $68.7M
      Jan 13, 2020 to Feb 12, 2020
    • Individual RAUM · $2.9M to $2.8M
      Jan 13, 2020 to Feb 12, 2020
    • Non-discretionary RAUM · $19.8M to $2.8M
      Jan 13, 2020 to Feb 12, 2020
    • Pension RAUM · $37.2M to $49.8M
      Jan 13, 2020 to Feb 12, 2020
    • RAUM · $150M to $144M
      Jan 13, 2020 to Feb 12, 2020
    • HQ city · WEXFORD to unset
      Mar 25, 2019 to Jan 2, 2020
    • HQ state · PA to unset
      Mar 25, 2019 to Jan 2, 2020
    • Related adviser · false to true
      Mar 25, 2019 to Jan 2, 2020
    • Accounts · 156 to 70
      Aug 17, 2018 to Mar 25, 2019
    • Advisory activities · 3 to 2
      Aug 17, 2018 to Mar 25, 2019
    • Charity clients · 2 to 1
      Aug 17, 2018 to Mar 25, 2019
    • Corporate clients · 14.0 to unset
      Aug 17, 2018 to Mar 25, 2019
    • HNW clients · 52 to 31
      Aug 17, 2018 to Mar 25, 2019
    • Individual clients · 44 to 16
      Aug 17, 2018 to Mar 25, 2019
    • Pension plan clients · 1 to 5
      Aug 17, 2018 to Mar 25, 2019
    Signals
    3 dated events
    • L•••• L••••••• left A••••• M••••••••• P•••••••• I••• for K••••••••• A••••••• (registered 2022-12-06)
      Dec 31, 2022 · Advisor changed firm · fact
    • Louis Michael Schneck (Partner) no longer on Schedule A of A••••• M••••••••• P•••••••• I••• (listed 2020-03-19, absent 2020-04-09)
      Apr 9, 2020 · Control person left · inference
    • Matthew David Kamin (Cco And Secretary) no longer on Schedule A of A••••• M••••••••• P•••••••• I••• (listed 2020-03-19, absent 2020-04-09)
      Apr 9, 2020 · 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