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•••• A••••••• A••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 113598SEC 801-60349IAPD
Latest filing Dec 4, 2015
First filing on the tape Nov 17, 2011 · 15 filings
RAUM
$26.8M
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
10
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$26.8M as of Mar 31, 2015
Mar 29, 2012$43.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2015
Mar 25, 20132 then
Employees (5.A)10 as of Mar 31, 2015
Mar 25, 20138 then
Private funds: no history
RAUM -15% over the last fiscal year-15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Dec 4, 2015; every figure names its basis
RAUM per advisor
$8.9MderivedRAUM 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$26.8M, 5 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)
  • 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)
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
25reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$26.8M for 5 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G••••• N•••••• C•••••• · Cfocontrol
    since 03/2015 · owns less than 5%
  • L••••••• B••••• H••••• · Chief Executive Officer & Ccocontrol
    since 09/1997 · owns less than 5%
  • W•• X•• · Executive Vice Presidentcontrol
    since 06/2002 · owns less than 5%
Entity owners
  • A•••• A••••••• H•••••• C•••• · Shareholder In Aaa Inc.
    direct · owns 75% or more
  • A•••• A••••••• C••••••••• · Shareholder In Aahc
    indirect · owns 75% or more of A•••• A••••••• H•••••• C•••• ("Aahc)
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Related adviser · true to false
    Mar 9, 2015 to Mar 31, 2015
  • Accounts · 30 to 25
    Mar 9, 2015 to Mar 31, 2015
  • Advisory employees · 6 to 4
    Mar 9, 2015 to Mar 31, 2015
  • Assets in custody · unset to 26800000.0
    Mar 9, 2015 to Mar 31, 2015
  • Custody of client assets · false to true
    Mar 9, 2015 to Mar 31, 2015
  • Discretionary RAUM · $31.4M to $26.8M
    Mar 9, 2015 to Mar 31, 2015
  • RAUM · $31.4M to $26.8M
    Mar 9, 2015 to Mar 31, 2015
  • Accounts · 61 to 30
    Oct 11, 2013 to Mar 27, 2014
  • Advisory activities · 4 to 2
    Oct 11, 2013 to Mar 27, 2014
  • Employees · 8 to 10
    Oct 11, 2013 to Mar 27, 2014
  • State-registered IARs · 2 to 3
    Oct 11, 2013 to Mar 27, 2014
  • Discretionary RAUM · $39.7M to $31.4M
    Oct 11, 2013 to Mar 27, 2014
  • RAUM · $39.7M to $31.4M
    Oct 11, 2013 to Mar 27, 2014
  • Accounts · 46 to 61
    Mar 29, 2012 to Mar 25, 2013
  • Advisory employees · unset to 6.0
    Mar 29, 2012 to Mar 25, 2013
  • BD registered reps · unset to 5.0
    Mar 29, 2012 to Mar 25, 2013
  • Employees · unset to 8.0
    Mar 29, 2012 to Mar 25, 2013
  • State-registered IARs · unset to 2.0
    Mar 29, 2012 to Mar 25, 2013
  • Discretionary RAUM · $43.4M to $39.7M
    Mar 29, 2012 to Mar 25, 2013
  • RAUM · $43.4M to $39.7M
    Mar 29, 2012 to Mar 25, 2013
  • Accounts · 31 to 46
    Feb 15, 2012 to Mar 29, 2012
  • Advisory activities · 3 to 4
    Feb 15, 2012 to Mar 29, 2012
  • Discretionary RAUM · $41.9M to $43.4M
    Feb 15, 2012 to Mar 29, 2012
  • RAUM · $41.9M to $43.4M
    Feb 15, 2012 to Mar 29, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 9, 2011 to Feb 15, 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