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

M••• S••• A••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 110596SEC 801-8670IAPD
Latest filing Mar 31, 2022
First filing on the tape Mar 27, 2012 · 14 filings
RAUM
$342M
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
20
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$342M as of Mar 31, 2022
Mar 27, 2012$2.3B then
HNW client RAUM$0 as of Mar 31, 2022
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 27, 20120 then
Employees (5.A)20 as of Mar 31, 2022
Mar 28, 201341 then
Private funds: no history
RAUM -0.3% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
unknownderivedHNW RAUM over HNW clients
Average account
$20.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
-0.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$342M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
17reported
Charitable clients
0reported
Accounts
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• S••• H••••• · Chief Financial Officercontrol
        since 10/2018 · owns less than 5%
      • L••• B•••• · Chief Operating Officer, General Counsel, Chief Compliance Officercontrol
        since 07/2005 · owns less than 5%
      • S•••• A•• · President, Senior Portfolio Manager (Equities)control
        since 01/2018 · owns less than 5%
      • S•••• M•••••• D•••••• · Chairman, Chief Executive Officer, Chief Investment Officer, Directorcontrol
        since 03/1972 · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list M••• S••• A••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 20 to 17
        Mar 30, 2021 to Mar 31, 2022
      • Pension plan clients · 20 to 17
        Mar 30, 2021 to Mar 31, 2022
      • Employees · 19 to 20
        Mar 30, 2021 to Mar 31, 2022
      • Discretionary RAUM · $344M to $342M
        Mar 30, 2021 to Mar 31, 2022
      • Pension RAUM · $344M to $342M
        Mar 30, 2021 to Mar 31, 2022
      • RAUM · $344M to $342M
        Mar 30, 2021 to Mar 31, 2022
      • Accounts · 23 to 20
        Mar 30, 2020 to Mar 30, 2021
      • BD registered reps · 6 to 5
        Mar 30, 2020 to Mar 30, 2021
      • Pension plan clients · 23 to 20
        Mar 30, 2020 to Mar 30, 2021
      • Employees · 20 to 19
        Mar 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $496M to $344M
        Mar 30, 2020 to Mar 30, 2021
      • Pension RAUM · $496M to $344M
        Mar 30, 2020 to Mar 30, 2021
      • RAUM · $496M to $344M
        Mar 30, 2020 to Mar 30, 2021
      • Accounts · 34 to 23
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 10 to 9
        Mar 29, 2019 to Mar 30, 2020
      • BD registered reps · 8 to 6
        Mar 29, 2019 to Mar 30, 2020
      • Pension plan clients · 34 to 23
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 21 to 20
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $690M to $496M
        Mar 29, 2019 to Mar 30, 2020
      • Pension RAUM · $690M to $496M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $690M to $496M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 68 to 34
        Mar 30, 2018 to Mar 29, 2019
      • Advisory employees · 12 to 10
        Mar 30, 2018 to Mar 29, 2019
      • Pension plan clients · 68 to 34
        Mar 30, 2018 to Mar 29, 2019
      • Employees · 31 to 21
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $960M to $690M
        Mar 30, 2018 to Mar 29, 2019
      • Pension RAUM · $960M to $690M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $960M to $690M
        Mar 30, 2018 to Mar 29, 2019
      • Accounts · 131 to 68
        Mar 31, 2017 to Feb 6, 2018
      • Advisory employees · 11 to 12
        Mar 31, 2017 to Feb 6, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Pension plan clients · unset to 68.0
        Mar 31, 2017 to Feb 6, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Discretionary RAUM · $2.7B to $960M
        Mar 31, 2017 to Feb 6, 2018
      • HNW RAUM · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Feb 6, 2018
      Signals
      7 dated events
      • M••• S••• A••••••••• I••• reported RAUM $343.6M, down 31% from $495.7M (2020-03-30 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • M••• S••• A••••••••• I••• reported RAUM $495.7M, down 28% from $690.4M (2019-03-29 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • M••• S••• A••••••••• I••• reported RAUM $690.4M, down 28% from $959.6M (2018-03-30 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Matthew Philip Sivin (Chief Financial Officer, Senior Managing Director) no longer on Schedule A of M••• S••• A••••••••• I••• (listed 2018-03-30, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Luke Richard O'Hara (Senior Vice President And Director Of Institutional Sales) no longer on Schedule A of M••• S••• A••••••••• I••• (listed 2018-03-30, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Harris Sam Friedman (Chief Financial Officer) appeared on Schedule A of M••• S••• A••••••••• I•••
        Mar 29, 2019 · Control person joined · fact
      • M••• S••• A••••••••• I••• reported RAUM $959.6M, down 65% from $2.7B (2017-03-31 to 2018-02-06)
        Feb 6, 2018 · RAUM change · derived
      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