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

C•••••• I••••••••• M•••••••••

Former SEC-registered adviserNew York, New YorkCRD 111973SEC 801-57620IAPD
Latest filing Apr 14, 2021
First filing on the tape Mar 16, 2012 · 19 filings
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
12%
$15.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$129M as of Apr 14, 2021
Mar 16, 2012$189M then
HNW client RAUM$15.5M as of Apr 14, 2021
Mar 27, 2018$11.1M then
State-registered IARs (5.B.3)0 as of Apr 14, 2021
Mar 6, 20130 then
Employees (5.A)3 as of Apr 14, 2021
Mar 6, 201310 then
Private funds: no history
RAUM -12% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 14, 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
$32.4MderivedRAUM 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
-12%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$114M88%
  • High-net-worth individuals$15.5M12%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
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•••••••• P••••• J••••• · Chief Operating Officercontrol
        since 03/2009 · owns less than 5%
      • Y•••••• M••••••• S•••• · Chairman And Ceocontrol
        since 05/2000 · owns less than 5%
      • Y•••••• M••••••• S•••• · Presidentcontrol
        since 03/1987 · owns 75% or more of T• I••••••••• C•••••••••
      • H••••• J•••••• L•••• · Chief Compliance Officer
        since 01/2018 · owns less than 5%
      Entity owners
      • C•••••• I••••••••• I••••••••• G••••• L••• · Partner And Majority Owner
        direct · owns 75% or more
      • T• I••••••••• C••••••••• · General Partner
        direct · owns less than 5%
      • C•••••• I••••••••• H•••••••• L••• · Limited Partner
        indirect · owns 75% or more of C•••••• I••••••••• I••••••••• G••••• L•••
      • T••• I••••••••• L•• · General Partner
        indirect · owns F of C•••••• I••••••••• H•••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list C•••••• I••••••••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 4
        Jul 17, 2020 to Apr 14, 2021
      • Discretionary RAUM · $147M to $129M
        Jul 17, 2020 to Apr 14, 2021
      • HNW RAUM · $13.0M to $15.5M
        Jul 17, 2020 to Apr 14, 2021
      • RAUM · $147M to $129M
        Jul 17, 2020 to Apr 14, 2021
      • Accounts · 6 to 5
        Mar 19, 2019 to Jul 17, 2020
      • Discretionary RAUM · $124M to $147M
        Mar 19, 2019 to Jul 17, 2020
      • HNW RAUM · $11.9M to $13.0M
        Mar 19, 2019 to Jul 17, 2020
      • RAUM · $124M to $147M
        Mar 19, 2019 to Jul 17, 2020
      • Accounts · 4 to 6
        Mar 27, 2018 to Mar 19, 2019
      • Advisory employees · 2 to 1
        Mar 27, 2018 to Mar 19, 2019
      • Employees · 5 to 3
        Mar 27, 2018 to Mar 19, 2019
      • Discretionary RAUM · $197M to $124M
        Mar 27, 2018 to Mar 19, 2019
      • HNW RAUM · $11.1M to $11.9M
        Mar 27, 2018 to Mar 19, 2019
      • RAUM · $197M to $124M
        Mar 27, 2018 to Mar 19, 2019
      • Advisory employees · 4 to 2
        Mar 30, 2017 to Mar 27, 2018
      • Employees · 7 to 5
        Mar 30, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 27, 2018
      • Discretionary RAUM · $222M to $197M
        Mar 30, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 11064274.0
        Mar 30, 2017 to Mar 27, 2018
      • RAUM · $222M to $197M
        Mar 30, 2017 to Mar 27, 2018
      • Accounts · 6 to 4
        Jul 14, 2016 to Mar 30, 2017
      • Employees · 10 to 7
        Jul 14, 2016 to Mar 30, 2017
      • Discretionary RAUM · $337M to $222M
        Jul 14, 2016 to Mar 30, 2017
      • RAUM · $337M to $222M
        Jul 14, 2016 to Mar 30, 2017
      • Advisory activities · 3 to 1
        Mar 15, 2016 to Mar 17, 2016
      • Discretionary RAUM · $337M to $337M
        Mar 10, 2016 to Mar 15, 2016
      • RAUM · $337M to $337M
        Mar 10, 2016 to Mar 15, 2016
      • Discretionary RAUM · $415M to $337M
        Mar 10, 2016 to Mar 10, 2016
      • RAUM · $415M to $337M
        Mar 10, 2016 to Mar 10, 2016
      • Accounts · 8 to 6
        Mar 26, 2015 to Mar 3, 2016
      • Advisory employees · 2 to 4
        Mar 26, 2015 to Mar 3, 2016
      • Discretionary RAUM · $151M to $415M
        Mar 6, 2014 to Mar 12, 2015
      • RAUM · $151M to $415M
        Mar 6, 2014 to Mar 12, 2015
      • Advisory employees · unset to 2.0
        Mar 16, 2012 to Mar 6, 2013
      • Advisory activities · 2 to 3
        Mar 16, 2012 to Mar 6, 2013
      • Employees · unset to 10.0
        Mar 16, 2012 to Mar 6, 2013
      • Financial planning clients · unset to 0
        Mar 16, 2012 to Mar 6, 2013
      • State-registered IARs · unset to 0.0
        Mar 16, 2012 to Mar 6, 2013
      • Discretionary RAUM · $189M to $151M
        Mar 16, 2012 to Mar 6, 2013
      • RAUM · $189M to $151M
        Mar 16, 2012 to Mar 6, 2013
      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