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

E••••• T•••• L••

Former SEC-registered adviserNew York, New YorkCRD 111718SEC 801-58193IAPD
Latest filing Mar 30, 2021
First filing on the tape Mar 29, 2012 · 11 filings
RAUM
$20.4M
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
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$20.4M as of Mar 30, 2021
Mar 29, 2012$661M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 29, 20120 then
Employees (5.A)3 as of Mar 30, 2021
Mar 6, 20133 then
Private funds: no history
RAUM -31% over the last fiscal year-45% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 30, 2021; 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
$2.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
92%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 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, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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
  • 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
  • Pension and profit-sharing plans$18.8M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
6reported
Charitable clients
0reported
Accounts
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
      • H•••• A•••• A• · Managing Directorcontrol
        since 10/2000 · owns 25% to 50%
      • R•••••• V•••••• H•••• · Managing Directorcontrol
        since 10/2000 · owns 10% to 25%
      • S••••••••• P••••••• H• · Managing Directorcontrol
        since 01/2004 · owns 10% to 25%
      • K••••••• E•• · Chief Compliance Officer
        since 08/2004 · owns less than 5%
      Entity owners
      • H•••••• F••••••••• R••••• A•• R••••••••• F••• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Other offices · 0 to 1
        Mar 24, 2020 to Mar 30, 2021
      • Discretionary RAUM · $29.4M to $20.4M
        Mar 24, 2020 to Mar 30, 2021
      • Pension RAUM · $27.0M to $18.8M
        Mar 24, 2020 to Mar 30, 2021
      • RAUM · $29.4M to $20.4M
        Mar 24, 2020 to Mar 30, 2021
      • Accounts · 8 to 7
        Feb 12, 2019 to Mar 24, 2020
      • Pension plan clients · 7 to 6
        Feb 12, 2019 to Mar 24, 2020
      • Discretionary RAUM · $27.1M to $29.4M
        Feb 12, 2019 to Mar 24, 2020
      • Non-discretionary RAUM · $135,473 to $0
        Feb 12, 2019 to Mar 24, 2020
      • Pension RAUM · $25.1M to $27.0M
        Feb 12, 2019 to Mar 24, 2020
      • RAUM · $27.2M to $29.4M
        Feb 12, 2019 to Mar 24, 2020
      • Related adviser · true to false
        Feb 12, 2019 to Mar 24, 2020
      • Accounts · 11 to 8
        Mar 23, 2018 to Feb 12, 2019
      • Pension plan clients · 9 to 7
        Mar 23, 2018 to Feb 12, 2019
      • Financial planning clients · 11-25 to 0
        Mar 23, 2018 to Feb 12, 2019
      • Discretionary RAUM · $85.0M to $27.1M
        Mar 23, 2018 to Feb 12, 2019
      • Non-discretionary RAUM · $35.1M to $135,473
        Mar 23, 2018 to Feb 12, 2019
      • Pension RAUM · $115M to $25.1M
        Mar 23, 2018 to Feb 12, 2019
      • RAUM · $120M to $27.2M
        Mar 23, 2018 to Feb 12, 2019
      • Accounts · 14 to 11
        Feb 13, 2017 to Mar 19, 2018
      • Charity clients · unset to 0.0
        Feb 13, 2017 to Mar 19, 2018
      • Corporate clients · unset to 0.0
        Feb 13, 2017 to Mar 19, 2018
      • HNW clients · unset to 0.0
        Feb 13, 2017 to Mar 19, 2018
      • Individual clients · unset to 0.0
        Feb 13, 2017 to Mar 19, 2018
      • Pension plan clients · unset to 9.0
        Feb 13, 2017 to Mar 19, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 13, 2017 to Mar 19, 2018
      • Other offices · unset to 0.0
        Feb 13, 2017 to Mar 19, 2018
      • Discretionary RAUM · $77.4M to $85.0M
        Feb 13, 2017 to Mar 19, 2018
      • Non-discretionary RAUM · $30.5M to $35.1M
        Feb 13, 2017 to Mar 19, 2018
      • Pension RAUM · unset to 114682757.0
        Feb 13, 2017 to Mar 19, 2018
      • RAUM · $108M to $120M
        Feb 13, 2017 to Mar 19, 2018
      • Non-discretionary RAUM · $56.0M to $30.5M
        Feb 17, 2016 to Feb 13, 2017
      • RAUM · $184M to $108M
        Feb 17, 2016 to Feb 13, 2017
      • Discretionary RAUM · $128M to $77.4M
        Feb 17, 2016 to Feb 13, 2017
      • Accounts · 15 to 14
        Mar 9, 2015 to Feb 17, 2016
      • Discretionary RAUM · $222M to $128M
        Mar 9, 2015 to Feb 17, 2016
      • Non-discretionary RAUM · $106M to $56.0M
        Mar 9, 2015 to Feb 17, 2016
      • RAUM · $328M to $184M
        Mar 9, 2015 to Feb 17, 2016
      • Discretionary RAUM · $294M to $222M
        Mar 11, 2014 to Mar 9, 2015
      • Non-discretionary RAUM · $149M to $106M
        Mar 11, 2014 to Mar 9, 2015
      • RAUM · $443M to $328M
        Mar 11, 2014 to Mar 9, 2015
      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