DFX Intelligence

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I•• D••• P•••••• • R•••••••• D•••• L••

No RAUM reportedSEC-registered· New York, New Yorkwebsite

No RAUM reported, based in New York, New York.

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

As of 2026-05-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 0

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-05-18 · 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 110037 · SEC 801-55222 · 37 filingsShow

CRD 110037SEC 801-55222First filing on the tape Apr 2, 2012, latest May 18, 2026SEC status approved since Mar 6, 1998IAPD

RAUM

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

306

215 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

37 filings and snapshots on the tape

Filed figures over time · the tape starts Apr 2, 2012

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

RAUM$0 as of May 18, 2026

Mar 20, 2025$0 then

HNW client RAUM$0 as of May 18, 2026

Apr 27, 2020$0 then

State-registered IARs (5.B.3)0 as of May 18, 2026

Apr 2, 20120 then

Employees (5.A)306 as of May 18, 2026

Mar 15, 2013761 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 0 to 0offices 28 to 27

Practice profile

derived from the filing of May 18, 2026; 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: unknownderived28 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed fees, otherreportedItem 5.E
Advisory activities: otherreportedItem 5.G
Ownership: controlled by a public reporting companyderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

controlled by a public reporting company (10.A)

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: 10reported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: RAUM: 0% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 1100% of advisors also broker-dealer representativesderived

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•••• B••••• L••• · Treasurercontrol
since 07/2016 · owns less than 5%
H••••••• M•••• J••••••• · Chief Operating Officer, D••• Servicescontrol
since 01/2024 · owns less than 5%
K••••• C••••••••• P••• · Presidentcontrol
since 05/2024 · owns less than 5%
M•••••••• M••••••• G••••• · Chief Compliance Officercontrol
since 04/2022 · owns less than 5%
O•••••••• A•••••• L•••• · Secretary & Vice President Legalcontrol
since 10/2016 · owns less than 5%

Entity owners

I•• D••• S•••••••• I••• · Sole Member Of Applicant
direct · owns 75% or more
I•••• I••••••••• C••••••••• · Shareholder
indirect · owns 75% or more of I•• D••• S•••••••• I•••
I••••••••• D••• H••••••• C••••••••• · Shareholder
indirect · owns 75% or more of I•••• I••••••••• C•••••••••
I••••••••• E•••••••• I••• · Shareholder
indirect · owns 75% or more of I••••••••• D••• H••••••• C••••••••• · public reporting company

Related persons

Schedule D 7.A

A••••••••• S••••••••• L•••••
broker-dealern
A••••••••• T•••••• S•••••••• I•••
broker-dealern
I•• B•••• S••••••••• C•••••••••
broker-dealern
I•• D••• S••••••• A•••••••• P•• L•••
investment advisern
I•• D••• S••••••• E••••• L••••••
investment advisern

All 10 related persons

I•• D••• S••••••• F••••• S••
investment advisern
I•• D••• S••••••• I•••• P•••••• L••••••
investment advisern
I•• D••• S••••••• S•••••••• P••• L•••
investment advisern
I•• S••••••••• E•••••••• • C•••••••• L••
broker-dealern
I••••••••• E••••••• G•••••• G•••
investment advisern

Advisers that list I•• D••• P•••••• • R•••••••• D•••• L•• as a related person

109562 n

Offices

Schedule D 1.F, the 25 largest

New York, NY51 employees
Bedford, MA30 employees
New York, NY24 employees
White Plains, NY11 employees
Chicago, IL4 employees

All 8 offices

Jacksonville, FL2 employees
Boston, MA1 employee
, 1 employee

What changed

consecutive filings, newest first

Advisory employees · 225 to 215
Mar 20, 2025 to Mar 24, 2026
BD registered reps · 0 to 11
Mar 20, 2025 to Mar 24, 2026
Charity clients · 7 to 10
Mar 20, 2025 to Mar 24, 2026
Corporate clients · 321 to 698
Mar 20, 2025 to Mar 24, 2026
Pension plan clients · 2 to 0
Mar 20, 2025 to Mar 24, 2026

Full history · 80 changes

Pooled vehicle clients · 0 to 4
Mar 20, 2025 to Mar 24, 2026
Employees · 308 to 306
Mar 20, 2025 to Mar 24, 2026
Other offices · 28 to 27
Mar 20, 2025 to Mar 24, 2026
Accounts · unset to 0.0
Jun 10, 2024 to Mar 20, 2025
Advisory employees · 229 to 225
Jun 10, 2024 to Mar 20, 2025
Charity clients · 8 to 7
Jun 10, 2024 to Mar 20, 2025
Corporate clients · 342 to 321
Jun 10, 2024 to Mar 20, 2025
Employees · 253 to 308
Jun 10, 2024 to Mar 20, 2025
Financial planning clients · unset to
Jun 10, 2024 to Mar 20, 2025
Other offices · 87 to 28
Jun 10, 2024 to Mar 20, 2025
Discretionary RAUM · unset to 0.0
Jun 10, 2024 to Mar 20, 2025
Non-discretionary RAUM · unset to 0.0
Jun 10, 2024 to Mar 20, 2025
RAUM · unset to 0.0
Jun 10, 2024 to Mar 20, 2025
Advisory employees · 214 to 229
Jan 30, 2024 to Mar 28, 2024
Charity clients · 11 to 8
Jan 30, 2024 to Mar 28, 2024
Corporate clients · 633 to 342
Jan 30, 2024 to Mar 28, 2024
Pension plan clients · 4 to 2
Jan 30, 2024 to Mar 28, 2024
Employees · 255 to 253
Jan 30, 2024 to Mar 28, 2024
Other offices · 121 to 87
Jan 30, 2024 to Mar 28, 2024
Advisory employees · 253 to 214
Jan 27, 2023 to Mar 30, 2023
Charity clients · 14 to 11
Jan 27, 2023 to Mar 30, 2023
Corporate clients · 707 to 633
Jan 27, 2023 to Mar 30, 2023
Pension plan clients · 5 to 4
Jan 27, 2023 to Mar 30, 2023
Employees · 270 to 255
Jan 27, 2023 to Mar 30, 2023
Other offices · 9 to 121
Jan 27, 2023 to Mar 30, 2023
Advisory employees · 244 to 253
Mar 11, 2022 to Mar 30, 2022
Advisory activities · 1 to 2
Mar 11, 2022 to Mar 30, 2022
Charity clients · 16 to 14
Mar 11, 2022 to Mar 30, 2022
Corporate clients · 735 to 707
Mar 11, 2022 to Mar 30, 2022
Pension plan clients · 3 to 5
Mar 11, 2022 to Mar 30, 2022
Employees · 261 to 270
Mar 11, 2022 to Mar 30, 2022
Advisory employees · 246 to 244
Dec 18, 2020 to Mar 30, 2021
Charity clients · 27 to 16
Dec 18, 2020 to Mar 30, 2021
Corporate clients · 752 to 735
Dec 18, 2020 to Mar 30, 2021
Pension plan clients · 17 to 3
Dec 18, 2020 to Mar 30, 2021
Pooled vehicle clients · 42 to 0
Dec 18, 2020 to Mar 30, 2021
Employees · 266 to 261
Dec 18, 2020 to Mar 30, 2021
Individual clients · 41 to 0
Apr 27, 2020 to Dec 18, 2020
Advisory employees · 238 to 246
Mar 29, 2019 to Apr 27, 2020
Advisory activities · 3 to 1
Mar 29, 2019 to Apr 27, 2020
Charity clients · 22 to 27
Mar 29, 2019 to Apr 27, 2020
Corporate clients · 57 to 752
Mar 29, 2019 to Apr 27, 2020
Individual clients · 50 to 41
Mar 29, 2019 to Apr 27, 2020
Pension plan clients · 29 to 17
Mar 29, 2019 to Apr 27, 2020
Pooled vehicle clients · 133 to 42
Mar 29, 2019 to Apr 27, 2020
Employees · 271 to 266
Mar 29, 2019 to Apr 27, 2020
Other offices · 6 to 9
Mar 29, 2019 to Apr 27, 2020
HNW RAUM · unset to 0.0
Mar 29, 2019 to Apr 27, 2020
Individual RAUM · unset to 0.0
Mar 29, 2019 to Apr 27, 2020
Pension RAUM · unset to 0.0
Mar 29, 2019 to Apr 27, 2020
Pooled vehicle RAUM · unset to 0.0
Mar 29, 2019 to Apr 27, 2020
Advisory employees · 255 to 238
Dec 19, 2018 to Mar 29, 2019
Charity clients · 25 to 22
Dec 19, 2018 to Mar 29, 2019
Corporate clients · 94 to 57
Dec 19, 2018 to Mar 29, 2019
Individual clients · 63 to 50
Dec 19, 2018 to Mar 29, 2019
Pooled vehicle clients · 142 to 133
Dec 19, 2018 to Mar 29, 2019
Employees · 430 to 271
Dec 19, 2018 to Mar 29, 2019
Other offices · 7 to 6
Dec 19, 2018 to Mar 29, 2019
Business name · I••••••••• D••• P•••••• A•• R•••••••• D••• L•• to I•• D••• P•••••• • R•••••••• D•••• L••
Mar 30, 2018 to Dec 19, 2018
Legal name · I••••••••• D••• P•••••• A•• R•••••••• D••• L•• to I•• D••• P•••••• • R•••••••• D•••• L••
Mar 29, 2018 to Mar 30, 2018
Advisory employees · 259 to 255
Nov 21, 2017 to Mar 29, 2018
Charity clients · unset to 25.0
Nov 21, 2017 to Mar 29, 2018
Corporate clients · unset to 94.0
Nov 21, 2017 to Mar 29, 2018
HNW clients · unset to 0.0
Nov 21, 2017 to Mar 29, 2018
Individual clients · unset to 63.0
Nov 21, 2017 to Mar 29, 2018
Pension plan clients · unset to 29.0
Nov 21, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 142.0
Nov 21, 2017 to Mar 29, 2018
Employees · 503 to 430
Nov 21, 2017 to Mar 29, 2018
Other offices · 8 to 7
Nov 21, 2017 to Mar 29, 2018
Other offices · unset to 8.0
Mar 29, 2017 to Nov 21, 2017
Advisory employees · 299 to 259
Jan 3, 2017 to Mar 28, 2017
Advisory activities · 1 to 3
Jan 3, 2017 to Mar 28, 2017
Employees · 652 to 503
Jan 3, 2017 to Mar 28, 2017
HQ city · BEDFORD to NEW YORK
Mar 29, 2016 to Jan 3, 2017
HQ state · MA to NY
Mar 29, 2016 to Jan 3, 2017

Signals

18 dated events

••• Locked
May 18, 2026 · ria indirect owner change · derived
••• Locked
Mar 20, 2025 · Office count change · derived
••• Locked
Jun 10, 2024 · Control person left · inference
••• Locked
Mar 28, 2024 · Office count change · derived
••• Locked
Jan 30, 2024 · Control person joined · fact

Full timeline · 18 events

••• Locked
Jan 30, 2024 · Control person left · inference
••• Locked
Mar 30, 2023 · Office count change · derived
••• Locked
Jan 27, 2023 · Control person joined · fact
••• Locked
Jan 27, 2023 · Control person left · inference
••• Locked
Jan 27, 2023 · Control person joined · fact
••• Locked
Apr 26, 2022 · Control person left · inference
••• Locked
Apr 26, 2022 · Control person joined · fact
••• Locked
Mar 11, 2022 · Control person joined · fact
••• Locked
Mar 11, 2022 · Control person left · inference
••• Locked
Jan 14, 2022 · Control person left · inference
••• Locked
Jan 14, 2022 · Control person joined · fact
••• Locked
Apr 27, 2020 · Control person joined · fact
••• Locked
Jun 22, 2012 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, May 18, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 18, 2026

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: No RAUM reportedderiveda 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: regulatory AUM, net advisor flow, 12 months, RAUM change, 1 year, private clients.