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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
A•••• • F•••••••• P•••••••• L••
Latest filing Mar 12, 2014
First filing on the tape Apr 20, 2012 · 11 filings
RAUM
$317M
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
90
90 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$317M as of Oct 1, 2013
Sep 28, 2012$456M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 90
Employees (5.A): 90
Private funds: no history
RAUM -31% over the last fiscal year
Practice profile
derived from the filing of Mar 12, 2014; every figure names its basis
- RAUM per advisor
- $3.5MderivedRAUM 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
- $132,319derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 18.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -31%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,395reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- M•••••• A•••••• C•••• to L•• F•••••••• L••Apr 4, 2014 · Other
- R••• C• H•••••• to P•••••••• F•••••••• A••••••• G••••Apr 4, 2014 · Other
- M••• W••••• W•••• to M••••• S••••••Mar 27, 2014 · Other
- A•• J••••• D••••• to C••••• I••••••••• S••••••• L••Nov 13, 2013 · Other
- N••• K••••••• to P•••••••• S••••••••• I•••Nov 12, 2013 · Other
- J••••• N••••••••• to B• R•••• W••••• A•••••••• I•••Sep 10, 2013 · Other
- J••••••• D•••••• to F••••• A•••••••• I••••••••• P••••••• L••Aug 29, 2013 · Other
- C••••• E•••••• to B• R•••• W••••• A•••••••• I•••May 31, 2013 · Other
- A•••••• P•••• G•••• to S•••••••• F••••••••• I•••Apr 10, 2013 · Other
- B•••• P••• C••••• to S•••••••• F••••••••• I•••Apr 10, 2013 · Other
- P••• G••••• J••••• to A•••••• A••••••• S•••••••Nov 2, 2012 · Other
- A•••••• J••• B••••• to B•••••••• I••••••••• M••••••••• L••Sep 26, 2012 · Other
- S••••• C•••• C••••••••• to S•••• I••••• S••••••••• L••Sep 20, 2012 · Other
- T••••• E••••• C•••••• to F•••• A••••• A••••••• S•••••••• I•••Jul 19, 2012 · Other
- J•••• A•••• D••••• to W•••• F•••• A•••••••Jul 2, 2012 · Other
Joined, latest
- A•• J••••• D••••• from F•••• T•••• S••••••••• I•••Sep 24, 2013 · Other
- J•••• A•••• D••••• from B••••• P•••••••• L••May 9, 2012 · Other
- G•••••• G••••• S•••••••• from C•••• I••••••••• S••••••• C••••Mar 22, 2012 · Other
- N••• K••••••• from H••••• F•••••••• S•••••••• L••Jan 19, 2012 · Other
- A•••••• J• V•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 3, 2012 · Other
- S••••• C•••• C••••••••• from J• P• T••••• • C•••••• C•••••• M••••••••• L••Nov 9, 2011 · Other
- D••••••• R••••• T•••••• from C••••••• • C••• I•••Aug 25, 2011 · Other
- C•••••• J••••• P••••••• from C•••• I••••••••• S••••••• C••••Oct 21, 2010 · Other
- T•••••• J•••• B••••• from Q•• F•••••••• L••Jan 28, 2010 · Other
- J•••••• S•••••••• C••••••••• from H••• S••••••••• •••• I•••Oct 30, 2009 · Other
- M••• G••••• S•••••• from S••••••• S••••••• • L••••Oct 16, 2009 · Other
- J•••• P••••• S•••• from P•••• S••••••••• L••Oct 6, 2009 · Other
- J••••• R• K••• from B••• O• A•••••• I••••••••• S•••••••• I•••Jul 20, 2009 · Other
- J••••••• D•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 29, 2009 · Other
- P•••• E••• W•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 12, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• I•••• H••• · Chief Financial Officercontrolsince 05/2013 · owns less than 5%
- M••••• G••••••• M•••••• · Chief Compliance Officercontrolsince 11/2013 · owns less than 5%
- N••••••••• A••• A•• · Presidentcontrolsince 03/2008 · owns less than 5%
Entity owners
- G••••• C•••••• I••• · Ownerdirect · owns 75% or more · public reporting company
- N••••••• H••••••• C••••••••• · Parent / Ownerindirect · owns 75% or more of G••••• C•••••• I••• · public reporting company
Related persons
Schedule D 7.A
- B• R•••• W••••• A•••••••• I•••investment advisernRAUM $4.2B
- N••••••• S••••••••• C•••••••••broker-dealern
- P•••• C•••••• S•••••••• I•••broker-dealern
- V••••••• I••••••••• I••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Flushing, NY
- Glen Burnie, MD
- Lake Ronkonkoma, NY
- Tampa, FL
What changed
consecutive filings, newest first
- Related adviser · false to trueDec 13, 2013 to Dec 17, 2013
- Accounts · 2,664 to 2,395Jun 3, 2013 to Oct 1, 2013
- Discretionary RAUM · $456M to $317MJun 3, 2013 to Oct 1, 2013
- RAUM · $456M to $317MJun 3, 2013 to Oct 1, 2013
- Advisory employees · unset to 90.0Sep 28, 2012 to May 31, 2013
- BD registered reps · unset to 90.0Sep 28, 2012 to May 31, 2013
- Employees · unset to 90.0Sep 28, 2012 to May 31, 2013
- State-registered IARs · unset to 90.0Sep 28, 2012 to May 31, 2013
- Accounts · 3,946 to 2,664Jul 20, 2012 to Sep 28, 2012
- Discretionary RAUM · $590M to $456MJul 20, 2012 to Sep 28, 2012
- RAUM · $590M to $456MJul 20, 2012 to Sep 28, 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
- 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