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

T•• A••••••• L••

Former SEC-registered adviserPurchase, New YorkCRD 109472SEC 801-57919IAPD
Latest filing Oct 9, 2015
First filing on the tape Mar 19, 2012 · 8 filings
RAUM
$183M
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$183M as of Mar 26, 2015
Mar 19, 2012$212M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 26, 2015
Mar 12, 20132 then
Employees (5.A)5 as of Mar 26, 2015
Mar 12, 20137 then
Private funds2 as of Mar 26, 2015
Mar 19, 20123 then
RAUM -3.5% over the last fiscal year-4.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Oct 9, 2015; every figure names its basis
RAUM per advisor
$183MderivedRAUM 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.5%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 5.G
Custody
$4.2M, 22 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • the adviser acts as qualified custodian (9.D.1)
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
163reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$4.2M for 22 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• A••••••• B••• F••• L•••no longer reportedPrivate Equity Fund$863,1633Mar 19, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• T•••••• A•••••• · S.V.P.control
        since 02/2007 · owns less than 5%
      • L•••••• G•••••• D••• · Presidentcontrol
        since 01/2000 · owns 75% or more
      • P•••• N•••••• J••••• · Chief Compliance Officer
        since 02/2004 · owns less than 5%
      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
      • Private funds · 2 to unset
        Mar 26, 2015 to Oct 9, 2015
      • Accounts · 167 to 163
        Mar 25, 2014 to Mar 26, 2015
      • Assets in custody · $3.2M to $4.2M
        Mar 25, 2014 to Mar 26, 2015
      • Discretionary RAUM · $189M to $183M
        Mar 25, 2014 to Mar 26, 2015
      • RAUM · $189M to $183M
        Mar 25, 2014 to Mar 26, 2015
      • Accounts · 165 to 167
        Dec 2, 2013 to Mar 25, 2014
      • Advisory employees · 3 to 2
        Dec 2, 2013 to Mar 25, 2014
      • Assets in custody · $3.2M to $3.2M
        Dec 2, 2013 to Mar 25, 2014
      • Employees · 7 to 5
        Dec 2, 2013 to Mar 25, 2014
      • State-registered IARs · 2 to 1
        Dec 2, 2013 to Mar 25, 2014
      • Discretionary RAUM · $185M to $189M
        Dec 2, 2013 to Mar 25, 2014
      • RAUM · $185M to $189M
        Dec 2, 2013 to Mar 25, 2014
      • Accounts · 201 to 165
        Mar 14, 2013 to Dec 2, 2013
      • Discretionary RAUM · $206M to $185M
        Mar 14, 2013 to Dec 2, 2013
      • RAUM · $206M to $185M
        Mar 14, 2013 to Dec 2, 2013
      • Accounts · 205 to 201
        Jan 16, 2013 to Mar 12, 2013
      • Assets in custody · $3.8M to $3.2M
        Jan 16, 2013 to Mar 12, 2013
      • Private funds · 3 to 2
        Jan 16, 2013 to Mar 12, 2013
      • Discretionary RAUM · $212M to $206M
        Jan 16, 2013 to Mar 12, 2013
      • RAUM · $212M to $206M
        Jan 16, 2013 to Mar 12, 2013
      • Advisory employees · unset to 3.0
        Mar 19, 2012 to Jan 16, 2013
      • Employees · unset to 7.0
        Mar 19, 2012 to Jan 16, 2013
      • State-registered IARs · unset to 2.0
        Mar 19, 2012 to Jan 16, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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