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••••• S•••••• B••••• • J••••••• I••

Former SEC-registered adviserNew York, New YorkCRD 110628SEC 801-10369IAPD
Latest filing Dec 26, 2018
First filing on the tape Dec 16, 2011 · 17 filings
RAUM
$91.3M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
83%
$75.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$91.3M as of Dec 26, 2018
Dec 16, 2011$471M then
HNW client RAUM$69.3M as of Dec 26, 2018
Dec 23, 2017$75.4M then
State-registered IARs (5.B.3)0 as of Dec 26, 2018
Dec 16, 20110 then
Employees (5.A)4 as of Dec 26, 2018
Nov 12, 201210 then
Private funds: no history
RAUM -14% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 26, 2018; 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
$3.3MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
7.6%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
-14%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-10%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$545,938, 1 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)
  • 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
  • High-net-worth individuals$69.3M76%
  • Corporations and businesses$8.5M9.3%
  • Individuals$6.6M7.2%
  • Charitable organizations$4.0M4.3%
  • Pension and profit-sharing plans$3.0M3.3%
Individual clients
6reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
88reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$545,938 for 1 clientsreported
Compensation
% of AUM, fixedreported
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
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
    • B•••••• M•••••• P•••••• · Chief Investment Officer, Managing Director And Stockholdercontrol
      since 03/2014 · owns 5% to 10%
    • J•••••••• G•••••• W•••••• · President, Ceo, Cco & Stockholdercontrol
      since 10/1974 · owns 25% to 50%
    • K••••••• C•••• L••• · Managing Director And Stockholdercontrol
      since 03/2014 · owns 5% to 10%
    Entity owners
    • G•••• A•••• M••••••••• I••• · Stockholder
      direct · owns 25% to 50% · public reporting company
    Related persons
    Schedule D 7.A
    • C••• L• K••••••
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HNW clients · 22 to 21
      Nov 14, 2018 to Dec 26, 2018
    • Individual clients · 8 to 6
      Nov 14, 2018 to Dec 26, 2018
    • Assets in custody · $553,734 to $545,938
      Nov 14, 2018 to Dec 26, 2018
    • HNW RAUM · $75.4M to $69.3M
      Nov 14, 2018 to Dec 26, 2018
    • Individual RAUM · $4.9M to $6.6M
      Nov 14, 2018 to Dec 26, 2018
    • Non-discretionary RAUM · $1.0M to $1.0M
      Nov 14, 2018 to Dec 26, 2018
    • Pension RAUM · $12.7M to $3.0M
      Nov 14, 2018 to Dec 26, 2018
    • RAUM · $91.3M to $91.3M
      Nov 14, 2018 to Dec 26, 2018
    • Accounts · 96 to 88
      Dec 23, 2017 to Nov 14, 2018
    • Advisory employees · 4 to 3
      Dec 23, 2017 to Nov 14, 2018
    • Employees · 5 to 4
      Dec 23, 2017 to Nov 14, 2018
    • Discretionary RAUM · $106M to $90.3M
      Dec 23, 2017 to Nov 14, 2018
    • Non-discretionary RAUM · $884,520 to $1.0M
      Dec 23, 2017 to Nov 14, 2018
    • RAUM · $106M to $91.3M
      Dec 23, 2017 to Nov 14, 2018
    • Accounts · 110 to 96
      Mar 10, 2017 to Dec 23, 2017
    • Advisory employees · 5 to 4
      Mar 10, 2017 to Dec 23, 2017
    • HNW clients · unset to 22.0
      Mar 10, 2017 to Dec 23, 2017
    • Individual clients · unset to 8.0
      Mar 10, 2017 to Dec 23, 2017
    • Pooled vehicle clients · unset to 0.0
      Mar 10, 2017 to Dec 23, 2017
    • Assets in custody · $581,992 to $553,734
      Mar 10, 2017 to Dec 23, 2017
    • Employees · 8 to 5
      Mar 10, 2017 to Dec 23, 2017
    • Other offices · unset to 0.0
      Mar 10, 2017 to Dec 23, 2017
    • Discretionary RAUM · $197M to $106M
      Mar 10, 2017 to Dec 23, 2017
    • HNW RAUM · unset to 75418143.0
      Mar 10, 2017 to Dec 23, 2017
    • Individual RAUM · unset to 4887620.0
      Mar 10, 2017 to Dec 23, 2017
    • Non-discretionary RAUM · $885,691 to $884,520
      Mar 10, 2017 to Dec 23, 2017
    • Pension RAUM · unset to 12702571.0
      Mar 10, 2017 to Dec 23, 2017
    • RAUM · $198M to $106M
      Mar 10, 2017 to Dec 23, 2017
    • Wrap assets (manager) · unset to 0.0
      Mar 10, 2017 to Dec 23, 2017
    • Wrap assets (sponsor) · unset to 0.0
      Mar 10, 2017 to Dec 23, 2017
    • Assets in custody · unset to 581992.0
      Dec 23, 2016 to Mar 10, 2017
    • Custody of client assets · false to true
      Dec 23, 2016 to Mar 10, 2017
    • Accounts · 112 to 110
      Jul 21, 2016 to Dec 23, 2016
    • Discretionary RAUM · $203M to $197M
      Jul 21, 2016 to Dec 23, 2016
    • Non-discretionary RAUM · $711,061 to $885,691
      Jul 21, 2016 to Dec 23, 2016
    • RAUM · $204M to $198M
      Jul 21, 2016 to Dec 23, 2016
    • Accounts · 138 to 112
      Jun 1, 2015 to Dec 22, 2015
    • Employees · 10 to 8
      Jun 1, 2015 to Dec 22, 2015
    • Discretionary RAUM · $316M to $203M
      Jun 1, 2015 to Dec 22, 2015
    • Non-discretionary RAUM · $769,130 to $711,061
      Jun 1, 2015 to Dec 22, 2015
    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