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

C•••••• C••••••• I•••

Former SEC-registered adviserShort Hills, New JerseyCRD 108569SEC 801-56336IAPD
Latest filing Mar 27, 2015
First filing on the tape Mar 15, 2012 · 10 filings
RAUM
$266M
reported, Item 5.F
Discretionary
100%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$266M as of Mar 27, 2015
Mar 15, 2012$204M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 27, 2015
Mar 26, 20133 then
Employees (5.A)3 as of Mar 27, 2015
Mar 26, 20133 then
Private funds: no history
RAUM +6.0% over the last fiscal year+9.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2015; every figure names its basis
RAUM per advisor
$88.6MderivedRAUM 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
$497,563derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+6.0%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 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
  • 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
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
534reported
Financial planning clients
n/areported
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
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
    • L••••••• A•••••• S•••• · Principalcontrol
      since 07/2007 · owns less than 5%
    • L••••••• J••• B•••••• · President & Chief Compliance Officercontrol
      since 04/1995 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Sarasota, FL
    What changed
    consecutive filings, newest first
    • Accounts · 513 to 534
      Sep 19, 2014 to Mar 27, 2015
    • Discretionary RAUM · $251M to $266M
      Sep 19, 2014 to Mar 27, 2015
    • RAUM · $251M to $266M
      Sep 19, 2014 to Mar 27, 2015
    • HQ city · unset to SHORT HILLS
      Sep 15, 2014 to Sep 19, 2014
    • HQ state · unset to NJ
      Sep 15, 2014 to Sep 19, 2014
    • Accounts · 498 to 513
      Dec 18, 2013 to Mar 18, 2014
    • Discretionary RAUM · $226M to $251M
      Dec 18, 2013 to Mar 18, 2014
    • RAUM · $226M to $251M
      Dec 18, 2013 to Mar 18, 2014
    • Accounts · 456 to 498
      May 25, 2012 to Mar 26, 2013
    • Advisory employees · unset to 3.0
      May 25, 2012 to Mar 26, 2013
    • Employees · unset to 3.0
      May 25, 2012 to Mar 26, 2013
    • State-registered IARs · unset to 3.0
      May 25, 2012 to Mar 26, 2013
    • Discretionary RAUM · $204M to $226M
      May 25, 2012 to Mar 26, 2013
    • RAUM · $204M to $226M
      May 25, 2012 to Mar 26, 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