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

F••••••••• A•••• M••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 110150SEC 801-16774IAPD
Latest filing Jun 26, 2020
First filing on the tape Dec 15, 2011 · 29 filings
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
38%
$50.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$58.3M gross assets
History
29 filings and snapshots on the tape
RAUM$132M as of Mar 30, 2020
Mar 28, 2012$229M then
HNW client RAUM$49.6M as of Mar 30, 2020
Mar 29, 2018$51.3M then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20120 then
Employees (5.A)3 as of Mar 30, 2020
Mar 28, 20134 then
Private funds2 as of Mar 30, 2020
Mar 28, 20122 then
RAUM +18% over the last fiscal year+5.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 26, 2020; 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
$1.8MderivedHNW RAUM over HNW clients
Average account
$3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
11%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
+18%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$13.7M, 12 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$67.0M51%
  • High-net-worth individuals$49.6M38%
  • Charitable organizations$14.7M11%
  • Individuals$630,1750.5%
Individual clients
4reported
HNW clients
28reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
37reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$13.7M for 12 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•• F••••••••• A• E••• G••••• L•••••• L••no longer reportedOther Private Fund$4.7M2Mar 19, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• P•••••• · Directorcontrol
        since 11/2017 · owns less than 5%
      • P•••••••• B••••••• · Shareholder, Chairman Of Board, Managing Director, President And Chief Compliance Officercontrol
        since 09/1981 · owns 25% to 50%
      • R•••• M••••• · Director And Shareholdercontrol
        since 08/2009 · owns 10% to 25%
      • G•••••••• P•••••• · Shareholdercontrol
        since 07/2014 · owns 75% or more of V•••••••• F••••••
      • F••••••• L••••• · Executive Vice President & Treasurer
        since 01/2019 · owns less than 5%
      • H••••••••• Z••••• · Director
        since 10/1998 · owns less than 5%
      • K••••• G••••••• L•• · Director
        since 10/1998 · owns less than 5%
      • M••••••••• N••••••• · Director
        since 11/2017 · owns less than 5%
      • W••••••••• T••••• · Vice President
        since 03/2019 · owns less than 5%
      Entity owners
      • F••••••••• I••••••••• M••••••• S•••• · Shareholder
        direct · owns 25% to 50%
      • P••••••• F••••• L•• · Shareholder
        direct · owns 10% to 25%
      • V•••••••• F•••••• · Shareholder
        indirect · owns 75% or more of F••••••••• I••••••••• M••••••• S••••
      Related persons
      Schedule D 7.A
      Advisers that list F••••••••• A•••• M••••••••• I••• 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 · $11.6M to $13.7M
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $112M to $132M
        Mar 29, 2019 to Mar 30, 2020
      • HNW RAUM · $42.4M to $49.6M
        Mar 29, 2019 to Mar 30, 2020
      • Individual RAUM · $702,157 to $630,175
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $55.9M to $67.0M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $112M to $132M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 34 to 37
        May 24, 2018 to Mar 29, 2019
      • Advisory activities · 3 to 4
        May 24, 2018 to Mar 29, 2019
      • HNW clients · 29 to 28
        May 24, 2018 to Mar 29, 2019
      • Individual clients · unset to 4.0
        May 24, 2018 to Mar 29, 2019
      • Assets in custody · $14.2M to $11.6M
        May 24, 2018 to Mar 29, 2019
      • Employees · 4 to 3
        May 24, 2018 to Mar 29, 2019
      • Discretionary RAUM · $137M to $112M
        May 24, 2018 to Mar 29, 2019
      • HNW RAUM · $51.3M to $42.4M
        May 24, 2018 to Mar 29, 2019
      • Individual RAUM · unset to 702157.0
        May 24, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $69.4M to $55.9M
        May 24, 2018 to Mar 29, 2019
      • RAUM · $137M to $112M
        May 24, 2018 to Mar 29, 2019
      • Assets in custody · unset to 14163371.0
        Dec 5, 2017 to Mar 29, 2018
      • Custody of client assets · false to true
        Dec 5, 2017 to Mar 29, 2018
      • Discretionary RAUM · $147M to $137M
        Dec 5, 2017 to Mar 29, 2018
      • HNW RAUM · $47.9M to $51.3M
        Dec 5, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · $83.1M to $69.4M
        Dec 5, 2017 to Mar 29, 2018
      • RAUM · $147M to $137M
        Dec 5, 2017 to Mar 29, 2018
      • Charity clients · unset to 2.0
        Jul 24, 2017 to Nov 22, 2017
      • HNW clients · unset to 29.0
        Jul 24, 2017 to Nov 22, 2017
      • Pooled vehicle clients · unset to 3.0
        Jul 24, 2017 to Nov 22, 2017
      • Other offices · unset to 0.0
        Jul 24, 2017 to Nov 22, 2017
      • Private funds · 3 to 2
        Jul 24, 2017 to Nov 22, 2017
      • Discretionary RAUM · $111M to $147M
        Jul 24, 2017 to Nov 22, 2017
      • HNW RAUM · unset to 47856511.0
        Jul 24, 2017 to Nov 22, 2017
      • Pooled vehicle RAUM · unset to 83111386.0
        Jul 24, 2017 to Nov 22, 2017
      • RAUM · $111M to $147M
        Jul 24, 2017 to Nov 22, 2017
      • Accounts · 42 to 34
        Jun 14, 2016 to Mar 30, 2017
      • Advisory employees · 4 to 3
        Jun 14, 2016 to Mar 30, 2017
      • Advisory activities · 4 to 3
        Jun 14, 2016 to Mar 30, 2017
      • Discretionary RAUM · $122M to $111M
        Jun 14, 2016 to Mar 30, 2017
      • RAUM · $122M to $111M
        Jun 14, 2016 to Mar 30, 2017
      • Accounts · 45 to 42
        Apr 7, 2015 to Mar 30, 2016
      • Discretionary RAUM · $150M to $122M
        Apr 7, 2015 to Mar 30, 2016
      • RAUM · $150M to $122M
        Apr 7, 2015 to Mar 30, 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