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••••••• W••••• M••••••••• L••

Former SEC-registered adviserIslandia, New YorkCRD 119273SEC 801-61513IAPD
Latest filing Mar 20, 2020
First filing on the tape Apr 9, 2012 · 12 filings
RAUM
$61.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$61.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$61.5M as of Mar 20, 2020
Apr 9, 2012$59.3M then
HNW client RAUM$24.5M as of Mar 20, 2020
Mar 29, 2018$29.4M then
State-registered IARs (5.B.3)2 as of Mar 20, 2020
Feb 25, 20130 then
Employees (5.A)2 as of Mar 20, 2020
Feb 25, 20131 then
Private funds: no history
RAUM -22% over the last fiscal year-2.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2020; every figure names its basis
RAUM per advisor
$30.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
80derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$854,167derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$36.8M60%
  • High-net-worth individuals$24.5M40%
  • Charitable organizations$218,0000.4%
Individual clients
145reported
HNW clients
14reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
72reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
      • K••••• M••••••• D•••• · Managing Member / Chief Compliance Officercontrol
        since 01/2002 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 400 to 72
        Mar 21, 2019 to Mar 20, 2020
      • Individual clients · 162 to 145
        Mar 21, 2019 to Mar 20, 2020
      • Discretionary RAUM · $78.4M to $61.5M
        Mar 21, 2019 to Mar 20, 2020
      • HNW RAUM · $22.1M to $24.5M
        Mar 21, 2019 to Mar 20, 2020
      • Individual RAUM · $56.1M to $36.8M
        Mar 21, 2019 to Mar 20, 2020
      • RAUM · $78.4M to $61.5M
        Mar 21, 2019 to Mar 20, 2020
      • Accounts · 357 to 400
        Mar 29, 2018 to Mar 21, 2019
      • Advisory employees · 3 to 2
        Mar 29, 2018 to Mar 21, 2019
      • BD registered reps · 3 to 2
        Mar 29, 2018 to Mar 21, 2019
      • Charity clients · unset to 1.0
        Mar 29, 2018 to Mar 21, 2019
      • HNW clients · 80 to 14
        Mar 29, 2018 to Mar 21, 2019
      • Individual clients · 153 to 162
        Mar 29, 2018 to Mar 21, 2019
      • Assets in custody · unset to 9091104.0
        Mar 29, 2018 to Mar 21, 2019
      • Employees · 3 to 2
        Mar 29, 2018 to Mar 21, 2019
      • State-registered IARs · 3 to 2
        Mar 29, 2018 to Mar 21, 2019
      • Other offices · 1 to 0
        Mar 29, 2018 to Mar 21, 2019
      • Discretionary RAUM · $76.1M to $78.4M
        Mar 29, 2018 to Mar 21, 2019
      • HNW RAUM · $29.4M to $22.1M
        Mar 29, 2018 to Mar 21, 2019
      • Individual RAUM · $47.3M to $56.1M
        Mar 29, 2018 to Mar 21, 2019
      • Non-discretionary RAUM · $1.2M to $0
        Mar 29, 2018 to Mar 21, 2019
      • Pension RAUM · 400000.0 to unset
        Mar 29, 2018 to Mar 21, 2019
      • RAUM · $77.3M to $78.4M
        Mar 29, 2018 to Mar 21, 2019
      • Accounts · 252 to 357
        Mar 29, 2017 to Mar 29, 2018
      • HNW clients · unset to 80.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual clients · unset to 153.0
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 5 to 3
        Mar 29, 2017 to Mar 29, 2018
      • State-registered IARs · 0 to 3
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $65.7M to $76.1M
        Mar 29, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 29400000.0
        Mar 29, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 47300000.0
        Mar 29, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $0 to $1.2M
        Mar 29, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 400000.0
        Mar 29, 2017 to Mar 29, 2018
      • RAUM · $65.7M to $77.3M
        Mar 29, 2017 to Mar 29, 2018
      • Accounts · 340 to 252
        Nov 22, 2016 to Mar 29, 2017
      • Discretionary RAUM · $67.0M to $65.7M
        Nov 22, 2016 to Mar 29, 2017
      • RAUM · $67.0M to $65.7M
        Nov 22, 2016 to Mar 29, 2017
      • Related broker-dealer · true to false
        Nov 22, 2016 to Mar 29, 2017
      • Employees · 4 to 5
        Oct 2, 2015 to Mar 16, 2016
      • Discretionary RAUM · $72.2M to $67.0M
        Oct 2, 2015 to Mar 16, 2016
      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