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

R•••••••• U••• I•••

Former SEC-registered adviserNew York, New YorkCRD 113441SEC 801-68013IAPD
Latest filing Sep 23, 2016
First filing on the tape Feb 13, 2012 · 11 filings
RAUM
$160M
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
52
33 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$160M as of Mar 15, 2016
Feb 13, 2012$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2016
Mar 19, 20130 then
Employees (5.A)52 as of Mar 15, 2016
Mar 19, 201353 then
Private funds: no history
RAUM -12% over the last fiscal year-1.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 23, 2016; 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
$39.9MderivedRAUM 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
unknownderived2 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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
      • B•••••••• W••••••• G••••• · Chief Legal Officer, Chief Compliance Officer, Secretarycontrol
        since 05/2007 · owns less than 5%
      • J••••••• N•••• T••••• · Directorcontrol
        since 09/2010 · owns less than 5%
      • S•••••••• R•••• N•• · Director, Chairperson, Ceocontrol
        since 08/2016 · owns less than 5%
      • W••••••• R•••• N•• · Treasurercontrol
        since 06/2013 · owns less than 5%
      Entity owners
      • R•••••••• A• · Parent Company
        direct · owns 75% or more
      • O••• C••••••••• · Majority Shareholder
        indirect · owns 75% or more of R••••• G•••• N.V. · public reporting company
      • R••••• E••••• H•••••• B••• · Majority Shareholder
        indirect · owns 75% or more of R•••••••• A•
      • R••••• G•••• N• · Share Holder
        indirect · owns 75% or more of R••••• I••••••••• A•••• M••••••••• B•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Zurich, Switzerland
      What changed
      consecutive filings, newest first
      • Advisory employees · 15 to 33
        Mar 13, 2015 to Mar 15, 2016
      • Employees · 46 to 52
        Mar 13, 2015 to Mar 15, 2016
      • Discretionary RAUM · $181M to $160M
        Mar 13, 2015 to Mar 15, 2016
      • RAUM · $181M to $160M
        Mar 13, 2015 to Mar 15, 2016
      • Advisory activities · 4 to 3
        Sep 5, 2014 to Mar 13, 2015
      • BD registered reps · 3 to 4
        Sep 5, 2014 to Mar 13, 2015
      • Employees · 42 to 46
        Sep 5, 2014 to Mar 13, 2015
      • Financial planning clients · 0 to unset
        Sep 5, 2014 to Mar 13, 2015
      • Discretionary RAUM · $189M to $181M
        Sep 5, 2014 to Mar 13, 2015
      • RAUM · $189M to $181M
        Sep 5, 2014 to Mar 13, 2015
      • Accounts · 5 to 4
        Jul 8, 2013 to Mar 10, 2014
      • Advisory employees · 16 to 15
        Jul 8, 2013 to Mar 10, 2014
      • BD registered reps · 27 to 3
        Jul 8, 2013 to Mar 10, 2014
      • Business name · S••••••••• A•••• M••••••••• U••• I••• to R•••••••• U••• I•••
        Jul 8, 2013 to Mar 10, 2014
      • Employees · 53 to 42
        Jul 8, 2013 to Mar 10, 2014
      • Discretionary RAUM · $166M to $189M
        Jul 8, 2013 to Mar 10, 2014
      • RAUM · $166M to $189M
        Jul 8, 2013 to Mar 10, 2014
      • Legal name · S••••••••• A•••• M••••••••• U••• I••• to R•••••••• U••• I•••
        Mar 19, 2013 to Jul 8, 2013
      • Advisory employees · unset to 16.0
        Feb 13, 2012 to Mar 19, 2013
      • BD registered reps · unset to 27.0
        Feb 13, 2012 to Mar 19, 2013
      • Employees · unset to 53.0
        Feb 13, 2012 to Mar 19, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Mar 19, 2013
      • Discretionary RAUM · $113M to $166M
        Feb 13, 2012 to Mar 19, 2013
      • RAUM · $113M to $166M
        Feb 13, 2012 to Mar 19, 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