DFX Intelligence

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S••••••••• E••••••••• I•••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2018-09-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2018-09-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 109562 · SEC 801-33745 · 47 filingsShow

CRD 109562SEC 801-33745First filing on the tape Feb 7, 2012, latest Sep 27, 2018IAPD

RAUM

Not disclosed

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

47 filings and snapshots on the tape

Filed figures over time · the tape starts Feb 7, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM: no history

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2018

Mar 26, 20131 then

Employees (5.A)5 as of Mar 30, 2018

Mar 26, 2013142 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 1 to 0

Practice profile

derived from the filing of Sep 27, 2018; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: -100%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed fees, otherreportedItem 5.E
Advisory activities: otherreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: n/areported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••• A••••••• G••••• · Directorcontrol
since 10/2016 · owns less than 5%
C•••••••• F••••• A••••• · Presidentcontrol
since 09/2015 · owns less than 5%
K•••• S•••••• K• · Vice President, Treasurercontrol
since 10/2016 · owns less than 5%
R••••••• J•••• F••••••• · Chief Compliance Officercontrol
since 09/2018 · owns less than 5%

Entity owners

I••••••••• E•••••••• I••• · 100% Parent
direct · owns 75% or more · public reporting company

Related persons

Schedule D 7.A

I•• D••• P•••••• • R•••••••• D•••• L••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Employees · 5 to 2
Mar 30, 2018 to Sep 27, 2018
Advisory employees · 3 to 0
Dec 18, 2017 to Mar 30, 2018
Charity clients · unset to 0.0
Dec 18, 2017 to Mar 30, 2018
Corporate clients · unset to 0.0
Dec 18, 2017 to Mar 30, 2018
HNW clients · unset to 0.0
Dec 18, 2017 to Mar 30, 2018

Full history · 32 changes

Individual clients · unset to 0.0
Dec 18, 2017 to Mar 30, 2018
Pension plan clients · unset to 0.0
Dec 18, 2017 to Mar 30, 2018
Pooled vehicle clients · unset to 0.0
Dec 18, 2017 to Mar 30, 2018
Employees · 25 to 5
Dec 18, 2017 to Mar 30, 2018
State-registered IARs · 1 to 0
Dec 18, 2017 to Mar 30, 2018
Other offices · 1 to 0
Dec 18, 2017 to Mar 30, 2018
Advisory employees · 21 to 3
Jun 9, 2017 to Dec 18, 2017
Employees · 70 to 25
Jun 9, 2017 to Dec 18, 2017
Other offices · unset to 1.0
Jun 9, 2017 to Dec 18, 2017
Advisory employees · 113 to 21
Mar 30, 2017 to Jun 9, 2017
Employees · 150 to 70
Mar 30, 2017 to Jun 9, 2017
Advisory employees · 100 to 113
Oct 14, 2016 to Jan 4, 2017
Advisory activities · 2 to 1
Oct 14, 2016 to Jan 4, 2017
Business name · S••••••• • P••••• S••••••••• E••••••••• I••• to S••••••••• E••••••••• I•••
Oct 14, 2016 to Jan 4, 2017
Employees · 185 to 150
Oct 14, 2016 to Jan 4, 2017
Legal name · S••••••• • P••••• S••••••••• E••••••••• I••• to S••••••••• E••••••••• I•••
Oct 14, 2016 to Oct 14, 2016
Employees · 174 to 185
Nov 9, 2015 to Mar 24, 2016
Advisory employees · 73 to 100
Mar 2, 2015 to Mar 27, 2015
Employees · 146 to 174
Mar 2, 2015 to Mar 27, 2015
Advisory employees · 75 to 73
Dec 20, 2013 to Mar 25, 2014
Employees · 142 to 146
Dec 20, 2013 to Mar 25, 2014
Financial planning clients · 0 to unset
Dec 20, 2013 to Mar 25, 2014
Advisory employees · 68 to 75
Feb 27, 2013 to Mar 26, 2013
Employees · 126 to 142
Feb 27, 2013 to Mar 26, 2013
Advisory employees · unset to 68.0
Sep 19, 2012 to Dec 12, 2012
Employees · unset to 126.0
Sep 19, 2012 to Dec 12, 2012
State-registered IARs · unset to 1.0
Sep 19, 2012 to Dec 12, 2012

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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: private clients.