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
N•••• S•••• A•••• M••••••••• L••
Latest filing Mar 10, 2025
First filing on the tape Mar 21, 2012 · 18 filings
SEC status approved since Apr 23, 2007
RAUM
$73.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$73.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$73.3M as of Mar 10, 2025
Mar 21, 2012$36.6M then
HNW client RAUM$66.0M as of Mar 10, 2025
Mar 19, 2018$32.8M then
State-registered IARs (5.B.3)1 as of Mar 10, 2025
Mar 21, 20120 then
Employees (5.A)1 as of Mar 10, 2025
Mar 26, 20132 then
Private funds: no history
RAUM +15% over the last fiscal year+6.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 2025; every figure names its basis
- RAUM per advisor
- $73.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $543,271derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- +2.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$66.0M90%
- Individuals$7.2M9.8%
- Charitable organizations$172,2630.2%
- Individual clients
- 19reported
- HNW clients
- 32reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 135reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- R••••• J•••••• S••••••• to C••••••••• W•••••• L••Oct 22, 2025 · RIA to RIA
- M•••••• O••••••••• to C•••••• W••••• M•••••••••Feb 19, 2014 · Other
Joined, latest
- M•••••• O••••••••• from F•••• E••••• A•••• M••••••••• I••Jan 28, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• R•••••• J•••••• · Managing Member/Chief Compliance Officercontrolsince 01/2004 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lloyd Harbor, Ny | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 130 to 135Mar 6, 2024 to Mar 10, 2025
- HNW clients · 29 to 32Mar 6, 2024 to Mar 10, 2025
- Individual clients · 21 to 19Mar 6, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 6, 2024 to Mar 10, 2025
- HQ city · unset to Mar 6, 2024 to Mar 10, 2025
- HQ state · unset to Mar 6, 2024 to Mar 10, 2025
- Discretionary RAUM · $63.7M to $73.3MMar 6, 2024 to Mar 10, 2025
- HNW RAUM · $55.5M to $66.0MMar 6, 2024 to Mar 10, 2025
- Individual RAUM · $8.0M to $7.2MMar 6, 2024 to Mar 10, 2025
- RAUM · $63.7M to $73.3MMar 6, 2024 to Mar 10, 2025
- Accounts · 142 to 130Mar 7, 2023 to Mar 6, 2024
- HNW clients · 32 to 29Mar 7, 2023 to Mar 6, 2024
- Individual clients · 20 to 21Mar 7, 2023 to Mar 6, 2024
- Discretionary RAUM · $58.5M to $63.7MMar 7, 2023 to Mar 6, 2024
- HNW RAUM · $51.6M to $55.5MMar 7, 2023 to Mar 6, 2024
- Individual RAUM · $6.8M to $8.0MMar 7, 2023 to Mar 6, 2024
- RAUM · $58.5M to $63.7MMar 7, 2023 to Mar 6, 2024
- Accounts · 132 to 142Mar 21, 2022 to Mar 7, 2023
- HNW clients · 35 to 32Mar 21, 2022 to Mar 7, 2023
- Individual clients · 17 to 20Mar 21, 2022 to Mar 7, 2023
- Discretionary RAUM · $61.4M to $58.5MMar 21, 2022 to Mar 7, 2023
- HNW RAUM · $54.1M to $51.6MMar 21, 2022 to Mar 7, 2023
- Individual RAUM · $7.2M to $6.8MMar 21, 2022 to Mar 7, 2023
- RAUM · $61.4M to $58.5MMar 21, 2022 to Mar 7, 2023
- Accounts · 137 to 132Feb 25, 2021 to Mar 21, 2022
- HNW clients · 18 to 35Feb 25, 2021 to Mar 21, 2022
- Individual clients · 25 to 17Feb 25, 2021 to Mar 21, 2022
- Discretionary RAUM · $55.2M to $61.4MFeb 25, 2021 to Mar 21, 2022
- HNW RAUM · $41.3M to $54.1MFeb 25, 2021 to Mar 21, 2022
- Individual RAUM · $13.8M to $7.2MFeb 25, 2021 to Mar 21, 2022
- RAUM · $55.2M to $61.4MFeb 25, 2021 to Mar 21, 2022
- Accounts · 135 to 137Jun 26, 2020 to Feb 25, 2021
- Charity clients · 1.0 to unsetJun 26, 2020 to Feb 25, 2021
- HNW clients · 65 to 18Jun 26, 2020 to Feb 25, 2021
- Individual clients · 69 to 25Jun 26, 2020 to Feb 25, 2021
- Discretionary RAUM · $53.3M to $55.2MJun 26, 2020 to Feb 25, 2021
- HNW RAUM · $40.7M to $41.3MJun 26, 2020 to Feb 25, 2021
- Individual RAUM · $12.5M to $13.8MJun 26, 2020 to Feb 25, 2021
- RAUM · $53.3M to $55.2MJun 26, 2020 to Feb 25, 2021
- Accounts · 45 to 135Feb 28, 2019 to Mar 5, 2020
Signals
2 dated events
- N•••• S•••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $73.3M)Dec 20, 2025 · Left the SEC roster · derived
- R••••• J•••••• S••••••• left N•••• S•••• A•••• M••••••••• L•• for C••••••••• W•••••• L•• (registered 2025-10-14)Oct 22, 2025 · Advisor changed firm · fact
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