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.

Former SEC-registered adviser

Sixty Wall Street Management Company, LLC

Former SEC-registered adviserNew York, New YorkCRD 109035SEC 801-50703IAPD
Latest filing Jun 8, 2015
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$1.3M
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
10
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.3M as of Mar 27, 2015
Mar 30, 2012$68.2M 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)10 as of Mar 27, 2015
Apr 1, 20133 then
Private funds: no history
RAUM -97% over the last fiscal year-73% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 8, 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
$1.3MderivedRAUM 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
-97%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-basedreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Custody
$1.3M, 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.3M for 1 clientsreported
Compensation
performancereported
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
      • Ana Capella · Managing Directorcontrol
        since 01/2011 · owns less than 5%
      • P Brian Flanagan · Cfocontrol
        since 02/2013 · owns less than 5%
      • Warren Richard Smith · Presidentcontrol
        since 01/2013 · owns less than 5%
      • J Robert Cole · Chief Compliance Officer
        since 01/2015 · owns less than 5%
      Entity owners
      • J.P. Morgan Investment Partners, L.P. · Managing Member
        direct · owns 75% or more
      • Jpmp Capital, LLC (F/K/A J.P. Morgan Capital Corporation) · Owner
        indirect · owns F of J.P. Morgan Inv. Partners, LP
      • J.P. Morgan Chase & Co. Inc. · Owner
        indirect · owns 75% or more of J.P. Morgan Capital Corp. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Sixty Wall Street Management Company, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $21.0M to $1.3M
        Jan 16, 2015 to Mar 27, 2015
      • Employees · 11 to 10
        Jan 16, 2015 to Mar 27, 2015
      • Discretionary RAUM · $44.9M to $1.3M
        Jan 16, 2015 to Mar 27, 2015
      • RAUM · $44.9M to $1.3M
        Jan 16, 2015 to Mar 27, 2015
      • Advisory employees · 3 to 2
        Nov 15, 2013 to Mar 25, 2014
      • Assets in custody · $20.6M to $21.0M
        Nov 15, 2013 to Mar 25, 2014
      • Employees · 3 to 11
        Nov 15, 2013 to Mar 25, 2014
      • Discretionary RAUM · $47.9M to $44.9M
        Nov 15, 2013 to Mar 25, 2014
      • RAUM · $47.9M to $44.9M
        Nov 15, 2013 to Mar 25, 2014
      • Discretionary RAUM · $68.2M to $47.9M
        Mar 28, 2013 to Apr 1, 2013
      • RAUM · $68.2M to $47.9M
        Mar 28, 2013 to Apr 1, 2013
      • Advisory employees · 5 to 3
        Jan 15, 2013 to Mar 28, 2013
      • Assets in custody · $0 to $20.6M
        Jan 15, 2013 to Mar 28, 2013
      • Employees · 5 to 3
        Jan 15, 2013 to Mar 28, 2013
      • Advisory employees · unset to 5.0
        Jun 14, 2012 to Jan 15, 2013
      • Employees · unset to 5.0
        Jun 14, 2012 to Jan 15, 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