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

A••••• W••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 111229SEC 801-60239IAPD
Latest filing Dec 28, 2015
First filing on the tape Jan 3, 2012 · 20 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Dec 22, 2014
Jan 31, 2012$450M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 28, 2015
Dec 11, 20121 then
Employees (5.A)2 as of Dec 28, 2015
Dec 11, 20127 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 28, 2015; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
otherreportedItem 5.E
Advisory activities
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
  • 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
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••••••• A••••••• A••••••New York, NyJul 18, 202132 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
      • A••••••• K••••••••• A••••••• · Chief Compliance Officercontrol
        since 11/2015 · owns less than 5%
      • B•••• E• R•••••• · Membercontrol
        since 03/2015 · owns less than 5%
      Entity owners
      • A•• P••••••• G•••• L•• · Member
        direct · owns 75% or more
      • A•••••• B•••• • A••••• L•• · Member
        indirect · owns 75% or more of A•• P••••••• G•••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 0 to 2
        Dec 4, 2015 to Dec 21, 2015
      • Employees · 1 to 2
        Apr 21, 2015 to Dec 3, 2015
      • Accounts · 0.0 to unset
        Dec 22, 2014 to Mar 19, 2015
      • Advisory activities · 2 to 1
        Dec 22, 2014 to Mar 19, 2015
      • BD registered reps · 2 to 0
        Dec 22, 2014 to Mar 19, 2015
      • Employees · 2 to 1
        Dec 22, 2014 to Mar 19, 2015
      • Discretionary RAUM · 0.0 to unset
        Dec 22, 2014 to Mar 19, 2015
      • Non-discretionary RAUM · 0.0 to unset
        Dec 22, 2014 to Mar 19, 2015
      • RAUM · 0.0 to unset
        Dec 22, 2014 to Mar 19, 2015
      • Related adviser · false to true
        Dec 22, 2014 to Mar 19, 2015
      • Accounts · 55 to 0
        Jan 31, 2014 to Dec 22, 2014
      • Advisory employees · 2 to 1
        Jan 31, 2014 to Dec 22, 2014
      • Discretionary RAUM · $438M to $0
        Jan 31, 2014 to Dec 22, 2014
      • RAUM · $438M to $0
        Jan 31, 2014 to Dec 22, 2014
      • Accounts · 100 to 55
        Dec 11, 2012 to Dec 23, 2013
      • Advisory employees · 1 to 2
        Dec 11, 2012 to Dec 23, 2013
      • Advisory activities · 4 to 2
        Dec 11, 2012 to Dec 23, 2013
      • BD registered reps · 1 to 2
        Dec 11, 2012 to Dec 23, 2013
      • Employees · 7 to 2
        Dec 11, 2012 to Dec 23, 2013
      • Insurance-licensed employees · 1 to 0
        Dec 11, 2012 to Dec 23, 2013
      • Financial planning clients · 0 to unset
        Dec 11, 2012 to Dec 23, 2013
      • State-registered IARs · 1 to 0
        Dec 11, 2012 to Dec 23, 2013
      • Discretionary RAUM · $450M to $438M
        Dec 11, 2012 to Dec 23, 2013
      • RAUM · $450M to $438M
        Dec 11, 2012 to Dec 23, 2013
      • Advisory employees · unset to 1.0
        Feb 15, 2012 to Nov 28, 2012
      • BD registered reps · unset to 1.0
        Feb 15, 2012 to Nov 28, 2012
      • Employees · unset to 7.0
        Feb 15, 2012 to Nov 28, 2012
      • State-registered IARs · unset to 1.0
        Feb 15, 2012 to Nov 28, 2012
      • Accounts · 51 to 100
        Jan 19, 2012 to Jan 31, 2012
      • Discretionary RAUM · $8.0M to $450M
        Jan 19, 2012 to Jan 31, 2012
      • Non-discretionary RAUM · $450M to $0
        Jan 19, 2012 to Jan 31, 2012
      • RAUM · $458M to $450M
        Jan 19, 2012 to Jan 31, 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