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

F•••••• L••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 111539SEC 801-57967IAPD
Latest filing Jan 17, 2014
First filing on the tape Apr 3, 2012 · 19 filings
RAUM
$85.9M
reported, Item 5.F
Discretionary
94%
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
14
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$28.0M gross assets
History
19 filings and snapshots on the tape
RAUM$85.9M as of Apr 1, 2013
Apr 3, 2012$195M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 4
Employees (5.A): 16
Private funds6 as of Apr 1, 2013
Apr 3, 20122 then
RAUM -56% over the last fiscal year
Practice profile
derived from the filing of Jan 17, 2014; every figure names its basis
RAUM per advisor
$17.2MderivedRAUM 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
$405,071derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
1.0derived5 offices incl. principal (1.F.5)
RAUM growth, one year
-56%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 fees, performance-based, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$458,600, 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
212reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$458,600 for 1 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
Every departureEvery arrival
Private funds
6 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
O••••• O••••••••• F••• L•Hedge Fund$17.6M40Apr 3, 2012
T••• T•••• R••••• F•••• L•Hedge Fund$4.6M16Jun 7, 2012
O••••• O••••••••• O••••••• F••• L•••Hedge Fund$3.8M8Apr 3, 2012
W••••••• M•••• S••••••• F•••• L•Hedge Fund$2.0M11Jun 7, 2012
B••• R•••• V•••• F•••• L•Hedge Fund$130,0003Jun 7, 2012
M•••• R•• S•••••••• I••••• F•••• L•Hedge Fund$35,9001Jun 7, 2012
Owners and control persons
Schedule A and B, latest filing
  • D••••••• A•••••• M•••• · Chief Compliance Officer & Trustee
    since 02/2013 · owns less than 5%
Entity owners
  • T•••• U•• J••••• M•••••• A•••• · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list F•••••• L••• A•••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • East Hampton, NY
  • San Francisco, CA
  • ,
What changed
consecutive filings, newest first
  • BD registered reps · 14 to 11
    Jul 3, 2013 to Jul 11, 2013
  • Employees · 17 to 14
    Jul 3, 2013 to Jul 11, 2013
  • State-registered IARs · 4 to 5
    Jul 3, 2013 to Jul 11, 2013
  • Advisory employees · 10 to 11
    Jun 24, 2013 to Jul 3, 2013
  • BD registered reps · 13 to 14
    Jun 24, 2013 to Jul 3, 2013
  • Employees · 16 to 17
    Jun 24, 2013 to Jul 3, 2013
  • Private funds · 6 to 4
    Jun 3, 2013 to Jun 24, 2013
  • Accounts · 124 to 212
    Mar 7, 2013 to Apr 1, 2013
  • Advisory employees · 6 to 10
    Mar 7, 2013 to Apr 1, 2013
  • BD registered reps · 8 to 13
    Mar 7, 2013 to Apr 1, 2013
  • Assets in custody · $1.1M to $458,600
    Mar 7, 2013 to Apr 1, 2013
  • Employees · 10 to 16
    Mar 7, 2013 to Apr 1, 2013
  • Discretionary RAUM · $50.4M to $81.1M
    Mar 7, 2013 to Apr 1, 2013
  • Non-discretionary RAUM · $26.8M to $4.8M
    Mar 7, 2013 to Apr 1, 2013
  • RAUM · $77.2M to $85.9M
    Mar 7, 2013 to Apr 1, 2013
  • Advisory employees · unset to 6.0
    Oct 25, 2012 to Mar 7, 2013
  • BD registered reps · unset to 8.0
    Oct 25, 2012 to Mar 7, 2013
  • Employees · unset to 10.0
    Oct 25, 2012 to Mar 7, 2013
  • State-registered IARs · unset to 4.0
    Oct 25, 2012 to Mar 7, 2013
  • Related bank · true to false
    Oct 25, 2012 to Mar 7, 2013
  • Advisory activities · 4 to 5
    Jun 7, 2012 to Sep 28, 2012
  • Assets in custody · unset to 1117451.0
    Jun 7, 2012 to Sep 28, 2012
  • Custody of client assets · false to true
    Jun 7, 2012 to Sep 28, 2012
  • Insurance-licensed employees · 1 to 0
    Jun 7, 2012 to Sep 28, 2012
  • Discretionary RAUM · $70.0M to $50.4M
    Jun 7, 2012 to Sep 28, 2012
  • Non-discretionary RAUM · $125M to $26.8M
    Jun 7, 2012 to Sep 28, 2012
  • RAUM · $195M to $77.2M
    Jun 7, 2012 to Sep 28, 2012
  • Related bank · false to true
    Jun 7, 2012 to Sep 28, 2012
  • Private funds · 2 to 6
    Apr 19, 2012 to Jun 7, 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