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••••• C•••••• S••••••••• L••
Latest filing Jan 28, 2025
First filing on the tape Mar 28, 2012 · 16 filings
SEC status approved since Aug 21, 2001
RAUM
$245M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
36%
$87.5M 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
16 filings and snapshots on the tape
RAUM$245M as of Jan 28, 2025
Mar 28, 2012$181M then
HNW client RAUM$87.5M as of Jan 28, 2025
Feb 12, 2018$71.1M then
State-registered IARs (5.B.3)0 as of Jan 28, 2025
Mar 28, 20120 then
Employees (5.A)1 as of Jan 28, 2025
Mar 15, 20131 then
Private funds: no history
RAUM +1.9% over the last fiscal year+1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 28, 2025; 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
- $81.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +1.9%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, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$158M64%
- High-net-worth individuals$87.5M36%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• D••••• M•••••• · Member/Chief Compliance Officercontrolsince 03/2000 · owns 25% to 50%
- A•••••• H••••• J•••• · Membercontrolsince 03/2000 · owns 25% to 50%
- H••••••• A••••••• S•• · Membercontrolsince 03/2000 · owns 25% to 50%
Related persons
Schedule D 7.A
- A••••• C•••••• B•••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4 to 3Mar 7, 2024 to Jan 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 7, 2024 to Jan 28, 2025
- HQ city · NEW YORK to Mar 7, 2024 to Jan 28, 2025
- HQ state · NY to Mar 7, 2024 to Jan 28, 2025
- Discretionary RAUM · $241M to $245MMar 7, 2024 to Jan 28, 2025
- HNW RAUM · $82.8M to $87.5MMar 7, 2024 to Jan 28, 2025
- RAUM · $241M to $245MMar 7, 2024 to Jan 28, 2025
- Discretionary RAUM · $228M to $241MMar 1, 2023 to Mar 7, 2024
- HNW RAUM · $76.8M to $82.8MMar 1, 2023 to Mar 7, 2024
- RAUM · $228M to $241MMar 1, 2023 to Mar 7, 2024
- Discretionary RAUM · $236M to $228MMar 10, 2022 to Mar 1, 2023
- HNW RAUM · $80.0M to $76.8MMar 10, 2022 to Mar 1, 2023
- RAUM · $236M to $228MMar 10, 2022 to Mar 1, 2023
- Discretionary RAUM · $231M to $236MMar 5, 2021 to Mar 10, 2022
- HNW RAUM · $77.0M to $80.0MMar 5, 2021 to Mar 10, 2022
- RAUM · $231M to $236MMar 5, 2021 to Mar 10, 2022
- Discretionary RAUM · $227M to $231MJun 29, 2020 to Mar 5, 2021
- HNW RAUM · $76.1M to $77.0MJun 29, 2020 to Mar 5, 2021
- RAUM · $227M to $231MJun 29, 2020 to Mar 5, 2021
- Advisory activities · 4 to 3Mar 17, 2019 to Mar 10, 2020
- Discretionary RAUM · $220M to $227MMar 17, 2019 to Mar 10, 2020
- HNW RAUM · $71.9M to $76.1MMar 17, 2019 to Mar 10, 2020
- RAUM · $220M to $227MMar 17, 2019 to Mar 10, 2020
- Discretionary RAUM · $221M to $220MFeb 12, 2018 to Mar 17, 2019
- HNW RAUM · $71.1M to $71.9MFeb 12, 2018 to Mar 17, 2019
- RAUM · $221M to $220MFeb 12, 2018 to Mar 17, 2019
- Other offices · unset to 0.0Feb 14, 2017 to Feb 12, 2018
- Discretionary RAUM · $215M to $221MFeb 14, 2017 to Feb 12, 2018
- HNW RAUM · unset to 71102888.0Feb 14, 2017 to Feb 12, 2018
- RAUM · $215M to $221MFeb 14, 2017 to Feb 12, 2018
- Discretionary RAUM · $211M to $215MFeb 25, 2016 to Feb 14, 2017
- RAUM · $211M to $215MFeb 25, 2016 to Feb 14, 2017
- Accounts · 5 to 4Feb 5, 2015 to Feb 25, 2016
- Discretionary RAUM · $207M to $211MFeb 5, 2015 to Feb 25, 2016
- RAUM · $207M to $211MFeb 5, 2015 to Feb 25, 2016
- Accounts · 7 to 5Mar 10, 2014 to Feb 5, 2015
- HQ city · unset to NEW YORKMar 10, 2014 to Feb 5, 2015
- HQ state · unset to NYMar 10, 2014 to Feb 5, 2015
- Discretionary RAUM · $198M to $207MMar 10, 2014 to Feb 5, 2015
- RAUM · $198M to $207MMar 10, 2014 to Feb 5, 2015
Signals
1 dated events
- A••••• C•••••• S••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $245.1M)Apr 1, 2026 · Left the SEC roster · 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