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••••• C•••••• M••••••••• I••

Former SEC-registered adviserKatonah, New YorkCRD 108686SEC 801-56015IAPD
Latest filing Mar 27, 2015
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$36.0M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$36.0M gross assets
History
5 filings and snapshots on the tape
RAUM$36.0M as of Mar 27, 2015
Mar 30, 2012$57.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Mar 30, 20120 then
Employees (5.A)1 as of Mar 27, 2015
Apr 1, 20137 then
Private funds1 as of Mar 27, 2015
Mar 30, 20124 then
RAUM +2.0% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2015; 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
$36.0MderivedRAUM 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
+2.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$36.0M, 1 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$36.0M for 1 clientsreported
Compensation
n/areported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••• P••••••• L••••••••• T••••no longer reportedOther Private Fund$510,566143Mar 30, 2012
      P••••• C••• G••••• L••••••••• T••••no longer reportedOther Private Fund$493,78365Mar 30, 2012
      P••••• E•••••••• L••••••••• T••••no longer reportedOther Private Fund$396,06926Mar 30, 2012
      A••• H•••••• L•••••Other Private Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• A•••• · Managing Director/Chief Executive Officer/Chief Operating Officer/General Counsel/Chief Compliance Officer/Director/ Secretarycontrol
        since 05/2009 · owns less than 5%
      • S••••••• A•••••• J• · Owner
        since 01/1999 · 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 · $35.3M to $36.0M
        Mar 27, 2014 to Mar 27, 2015
      • Discretionary RAUM · $35.3M to $36.0M
        Mar 27, 2014 to Mar 27, 2015
      • RAUM · $35.3M to $36.0M
        Mar 27, 2014 to Mar 27, 2015
      • Accounts · 4 to 1
        Apr 1, 2013 to Mar 27, 2014
      • Assets in custody · $30.9M to $35.3M
        Apr 1, 2013 to Mar 27, 2014
      • Employees · 7 to 1
        Apr 1, 2013 to Mar 27, 2014
      • Private funds · 4 to 1
        Apr 1, 2013 to Mar 27, 2014
      • Discretionary RAUM · $32.2M to $35.3M
        Apr 1, 2013 to Mar 27, 2014
      • RAUM · $32.2M to $35.3M
        Apr 1, 2013 to Mar 27, 2014
      • Accounts · 6 to 4
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 1.0
        Mar 30, 2012 to Apr 1, 2013
      • Assets in custody · $18.6M to $30.9M
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 7.0
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $57.5M to $32.2M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $57.5M to $32.2M
        Mar 30, 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