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•••••••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 111275SEC 801-54780IAPD
Latest filing Mar 25, 2022
First filing on the tape Mar 21, 2012 · 18 filings
RAUM
$188M
reported, Item 5.F
Discretionary
21%
of RAUM
Private clients
100%
$188M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$188M as of Mar 25, 2022
Mar 21, 2012$397M then
HNW client RAUM$186M as of Mar 25, 2022
Mar 20, 2018$288M then
State-registered IARs (5.B.3)1 as of Mar 25, 2022
Mar 21, 20120 then
Employees (5.A)1 as of Mar 25, 2022
Mar 14, 20133 then
Private funds: no history
RAUM +1.4% over the last fiscal year-13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2022; every figure names its basis
RAUM per advisor
$188MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.9MderivedHNW RAUM over HNW clients
Average account
$4.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
21%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$1.6M, 2 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)
  • has custody of client securities (9.A.1.b)
  • the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$186M99%
  • Individuals$2.5M1.3%
Individual clients
5reported
HNW clients
27reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
46reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.6M for 2 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
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
    • K•••• J••••• G•••••• · Managing Member/Chief Compliance Officercontrol
      since 11/2020 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Assets in custody · $1.8M to $1.6M
      Mar 31, 2021 to Mar 25, 2022
    • Discretionary RAUM · $33.4M to $39.1M
      Mar 31, 2021 to Mar 25, 2022
    • HNW RAUM · $183M to $186M
      Mar 31, 2021 to Mar 25, 2022
    • Individual RAUM · $2.2M to $2.5M
      Mar 31, 2021 to Mar 25, 2022
    • Non-discretionary RAUM · $152M to $149M
      Mar 31, 2021 to Mar 25, 2022
    • RAUM · $186M to $188M
      Mar 31, 2021 to Mar 25, 2022
    • Accounts · 102 to 46
      Jan 20, 2021 to Mar 31, 2021
    • Advisory employees · 2 to 1
      Jan 20, 2021 to Mar 31, 2021
    • HNW clients · 57 to 27
      Jan 20, 2021 to Mar 31, 2021
    • Individual clients · 17 to 5
      Jan 20, 2021 to Mar 31, 2021
    • Assets in custody · $2.0M to $1.8M
      Jan 20, 2021 to Mar 31, 2021
    • Employees · 2 to 1
      Jan 20, 2021 to Mar 31, 2021
    • State-registered IARs · 2 to 1
      Jan 20, 2021 to Mar 31, 2021
    • Discretionary RAUM · $81.8M to $33.4M
      Jan 20, 2021 to Mar 31, 2021
    • HNW RAUM · $303M to $183M
      Jan 20, 2021 to Mar 31, 2021
    • Individual RAUM · $6.6M to $2.2M
      Jan 20, 2021 to Mar 31, 2021
    • Non-discretionary RAUM · $228M to $152M
      Jan 20, 2021 to Mar 31, 2021
    • RAUM · $310M to $186M
      Jan 20, 2021 to Mar 31, 2021
    • Accounts · 108 to 102
      Mar 20, 2019 to Mar 11, 2020
    • HNW clients · 51 to 57
      Mar 20, 2019 to Mar 11, 2020
    • Individual clients · 16 to 17
      Mar 20, 2019 to Mar 11, 2020
    • Assets in custody · $2.1M to $2.0M
      Mar 20, 2019 to Mar 11, 2020
    • Discretionary RAUM · $76.6M to $81.8M
      Mar 20, 2019 to Mar 11, 2020
    • HNW RAUM · $279M to $303M
      Mar 20, 2019 to Mar 11, 2020
    • Individual RAUM · $5.2M to $6.6M
      Mar 20, 2019 to Mar 11, 2020
    • Non-discretionary RAUM · $207M to $228M
      Mar 20, 2019 to Mar 11, 2020
    • RAUM · $284M to $310M
      Mar 20, 2019 to Mar 11, 2020
    • Accounts · 109 to 108
      Mar 28, 2018 to Mar 20, 2019
    • HNW clients · 50 to 51
      Mar 28, 2018 to Mar 20, 2019
    • Individual clients · 11 to 16
      Mar 28, 2018 to Mar 20, 2019
    • Assets in custody · $2.3M to $2.1M
      Mar 28, 2018 to Mar 20, 2019
    • Discretionary RAUM · $94.5M to $76.6M
      Mar 28, 2018 to Mar 20, 2019
    • HNW RAUM · $288M to $279M
      Mar 28, 2018 to Mar 20, 2019
    • Individual RAUM · $14.7M to $5.2M
      Mar 28, 2018 to Mar 20, 2019
    • Non-discretionary RAUM · $209M to $207M
      Mar 28, 2018 to Mar 20, 2019
    • RAUM · $303M to $284M
      Mar 28, 2018 to Mar 20, 2019
    • Accounts · 122 to 109
      Aug 15, 2017 to Mar 20, 2018
    • HNW clients · unset to 50.0
      Aug 15, 2017 to Mar 20, 2018
    • Individual clients · unset to 11.0
      Aug 15, 2017 to Mar 20, 2018
    • Assets in custody · $2.8M to $2.3M
      Aug 15, 2017 to Mar 20, 2018
    Signals
    2 dated events
    • M•••••••• A•••• M••••••••• L•• reported RAUM $185.6M, down 40% from $310.0M (2021-01-20 to 2021-03-31)
      Mar 31, 2021 · RAUM change · derived
    • John Geza Marx (Managing Member/Chief Compliance Officer) no longer on Schedule A of M•••••••• A•••• M••••••••• L•• (listed 2020-06-29, absent 2021-01-20)
      Jan 20, 2021 · Control person left · inference
    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