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

Loeb Partners Corporation

Former SEC-registered adviserNew York, New YorkCRD 10929SEC 801-39571IAPD
Latest filing Dec 20, 2018
First filing on the tape Dec 23, 2011 · 18 filings
RAUM
$455M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$381M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$455M as of Dec 20, 2018
Dec 23, 2011$145M then
HNW client RAUM$353M as of Dec 20, 2018
Dec 22, 2017$347M then
State-registered IARs (5.B.3)1 as of Dec 20, 2018
Dec 23, 20110 then
Employees (5.A)13 as of Dec 20, 2018
Dec 20, 201229 then
Private funds: no history
RAUM +2.8% over the last fiscal year+8.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Dec 20, 2018; every figure names its basis
RAUM per advisor
$455MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
142derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.3MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
13.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+2.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-30%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$251M, 28 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • High-net-worth individuals$353M78%
  • Corporations and businesses$58.8M13%
  • Individuals$28.0M6.2%
  • Pension and profit-sharing plans$15.4M3.4%
  • Charitable organizations$69,3690.0%
Individual clients
94reported
HNW clients
48reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
215reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$251M for 28 clientsreported
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
Left, latest
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
    • Elizabeth Colleen Corwell · Chief Compliance Officercontrol
      since 01/2016 · owns less than 5%
    • B Jigisha Patel · Cheif Financial Officercontrol
      since 07/2018 · owns less than 5%
    • Peter Alexandrovich Tcherepnine · Chief Executive Officercontrol
      since 04/1982 · owns less than 5%
    Entity owners
    • Loeb Holding Corporation · Shareholder
      direct · owns 75% or more
    • Lhc Marital Trust Fbo Ann Kempner · Trust
      indirect · owns 75% or more of Loeb Holding Corporation
    Related persons
    Schedule D 7.A
    • Loeb Holding Corporation
      y
    Advisers that list Loeb Partners Corporation as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 225 to 215
      Aug 27, 2018 to Dec 20, 2018
    • Charity clients · 2 to 1
      Aug 27, 2018 to Dec 20, 2018
    • Corporate clients · 13 to 14
      Aug 27, 2018 to Dec 20, 2018
    • HNW clients · 129 to 48
      Aug 27, 2018 to Dec 20, 2018
    • Individual clients · 74 to 94
      Aug 27, 2018 to Dec 20, 2018
    • Pooled vehicle clients · 5 to 0
      Aug 27, 2018 to Dec 20, 2018
    • Assets in custody · $443M to $251M
      Aug 27, 2018 to Dec 20, 2018
    • Employees · 20 to 13
      Aug 27, 2018 to Dec 20, 2018
    • Discretionary RAUM · $443M to $455M
      Aug 27, 2018 to Dec 20, 2018
    • HNW RAUM · $347M to $353M
      Aug 27, 2018 to Dec 20, 2018
    • Individual RAUM · $13.4M to $28.0M
      Aug 27, 2018 to Dec 20, 2018
    • Pension RAUM · $14.9M to $15.4M
      Aug 27, 2018 to Dec 20, 2018
    • Pooled vehicle RAUM · $16.3M to $0
      Aug 27, 2018 to Dec 20, 2018
    • RAUM · $443M to $455M
      Aug 27, 2018 to Dec 20, 2018
    • Related adviser · true to false
      Jun 12, 2018 to Aug 27, 2018
    • BD registered reps · 14 to 0
      Jan 23, 2018 to Jun 12, 2018
    • Commission compensation · true to false
      Jan 23, 2018 to Jun 12, 2018
    • Corporate clients · 14 to 13
      Dec 22, 2017 to Jan 23, 2018
    • Pension plan clients · unset to 1.0
      Dec 22, 2017 to Jan 23, 2018
    • Pension RAUM · unset to 14948912.0
      Dec 22, 2017 to Jan 23, 2018
    • Accounts · 235 to 225
      Feb 3, 2017 to Dec 22, 2017
    • BD registered reps · 15 to 14
      Feb 3, 2017 to Dec 22, 2017
    • Charity clients · unset to 2.0
      Feb 3, 2017 to Dec 22, 2017
    • Corporate clients · unset to 14.0
      Feb 3, 2017 to Dec 22, 2017
    • HNW clients · unset to 129.0
      Feb 3, 2017 to Dec 22, 2017
    • Individual clients · unset to 74.0
      Feb 3, 2017 to Dec 22, 2017
    • Pooled vehicle clients · unset to 5.0
      Feb 3, 2017 to Dec 22, 2017
    • Assets in custody · $381M to $443M
      Feb 3, 2017 to Dec 22, 2017
    • Employees · 26 to 20
      Feb 3, 2017 to Dec 22, 2017
    • Other offices · unset to 1.0
      Feb 3, 2017 to Dec 22, 2017
    • Discretionary RAUM · $381M to $443M
      Feb 3, 2017 to Dec 22, 2017
    • HNW RAUM · unset to 347438406.0
      Feb 3, 2017 to Dec 22, 2017
    • Individual RAUM · unset to 13361637.0
      Feb 3, 2017 to Dec 22, 2017
    • Pooled vehicle RAUM · unset to 16326885.0
      Feb 3, 2017 to Dec 22, 2017
    • RAUM · $381M to $443M
      Feb 3, 2017 to Dec 22, 2017
    • Accounts · 249 to 235
      Dec 28, 2015 to Dec 23, 2016
    • BD registered reps · 21 to 15
      Dec 28, 2015 to Dec 23, 2016
    • Assets in custody · $360M to $381M
      Dec 28, 2015 to Dec 23, 2016
    • Discretionary RAUM · $360M to $381M
      Dec 28, 2015 to Dec 23, 2016
    • RAUM · $360M to $381M
      Dec 28, 2015 to Dec 23, 2016
    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