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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SEC-registered adviser
N•••••• A••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 4, 2012 · 28 filings
SEC status approved since Oct 8, 2002
RAUM
$1.2B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
11%
$131M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2026
Apr 4, 2012$462M then
HNW client RAUM$131M as of Mar 31, 2026
Mar 28, 2018$277M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)17 as of Mar 31, 2026
Apr 1, 201320 then
Private funds1 as of Mar 31, 2026
Apr 1, 20133 then
RAUM +23% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $25.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- +23%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
- Custody
- $1.1B, 3 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)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B89%
- High-net-worth individuals$131M11%
- Individual clients
- n/areported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 46reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.11 fund_share=0.89 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S• G••••• M••••••••• M••••• F••• L•• | Hedge Fund | $689M | 86 | Apr 1, 2013 |
| S• G••••• M••••••••• F••• •••••• S•••• P••no longer reported | Hedge Fund | $59.2M | 2 | Apr 1, 2013 |
| S• G••••• M••••••••• F••• ••••••••• S•••• P•• | Hedge Fund | $32.0M | 4 | Apr 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- D••••• D••••• A•••••• · Coo Fundscontrolsince 12/2023 · owns less than 5%
- M•••••• L••••• C•••••• · Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- S•••• E•••• · T•••••• Of E•••• S••• A• T•••••• O• T•• E•••• S••• R•••••••• T•••• A•••••••• D•••• J••• 2•••• 2•••controlsince 09/2021 · owns 25% to 50%
- S••••• S••••••• J••••• · Membercontrolsince 06/2001 · owns 25% to 50%
- S••••••• D••• C•••• · T•••••• Of D•• S•••••• 2••• R•••••••• T••••controlsince 09/2021 · owns 25% to 50%
- Z•••••• S•••••••• · Managing Directorcontrolsince 12/2023 · owns less than 5%
Entity owners
- D•• S•••••• 2••• R•••••••• T•••• · Memberdirect · owns 25% to 50%
- E•••• S••• A• T•••••• O• T•• E•••• S••• R•••••••• T•••• A•••••••• D•••• J••• 2•••• 2••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 43 to 46Mar 28, 2025 to Mar 31, 2026
- HNW clients · 40 to 43Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $689M to $1.1BMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $895M to $1.1BMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $119M to $131MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $68.9M to $76.7MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $845M to $1.1BMar 28, 2025 to Mar 31, 2026
- RAUM · $964M to $1.2BMar 28, 2025 to Mar 31, 2026
- Accounts · 42 to 43Sep 11, 2024 to Mar 28, 2025
- Advisory employees · 7 to 6Sep 11, 2024 to Mar 28, 2025
- HNW clients · 38 to 40Sep 11, 2024 to Mar 28, 2025
- Pooled vehicle clients · 4 to 3Sep 11, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Sep 11, 2024 to Mar 28, 2025
- Private funds · 2 to 1Sep 11, 2024 to Mar 28, 2025
- Discretionary RAUM · $780M to $895MSep 11, 2024 to Mar 28, 2025
- HNW RAUM · $74.8M to $119MSep 11, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $16.7M to $68.9MSep 11, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $722M to $845MSep 11, 2024 to Mar 28, 2025
- RAUM · $796M to $964MSep 11, 2024 to Mar 28, 2025
- Assets in custody · $671M to $689MJun 17, 2024 to Sep 11, 2024
- Accounts · 37 to 42Dec 7, 2023 to Mar 29, 2024
- HNW clients · 33 to 38Dec 7, 2023 to Mar 29, 2024
- Discretionary RAUM · $746M to $780MDec 7, 2023 to Mar 29, 2024
- HNW RAUM · $90.3M to $74.8MDec 7, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $15.2M to $16.7MDec 7, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $671M to $722MDec 7, 2023 to Mar 29, 2024
- RAUM · $762M to $796MDec 7, 2023 to Mar 29, 2024
- Accounts · 36 to 37Dec 14, 2022 to Mar 28, 2023
- HNW clients · 32 to 33Dec 14, 2022 to Mar 28, 2023
- Assets in custody · $793M to $671MDec 14, 2022 to Mar 28, 2023
- Employees · 16 to 17Dec 14, 2022 to Mar 28, 2023
- Financial planning clients · unset to 0Dec 14, 2022 to Mar 28, 2023
- Discretionary RAUM · $732M to $746MDec 14, 2022 to Mar 28, 2023
- HNW RAUM · $109M to $90.3MDec 14, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $13.2M to $15.2MDec 14, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $636M to $671MDec 14, 2022 to Mar 28, 2023
- RAUM · $745M to $762MDec 14, 2022 to Mar 28, 2023
- HQ city · NEW YORK to HALLANDALE BEACHApr 20, 2022 to Dec 14, 2022
- HQ state · NY to FLApr 20, 2022 to Dec 14, 2022
- Accounts · 22 to 36Oct 6, 2021 to Mar 29, 2022
Signals
4 dated events
- S•••••••• Z••••• (Managing Director) appeared on Schedule A of N•••••• A••••••• L••Mar 29, 2024 · Control person joined · fact
- D•••• D•••• (Coo Funds) appeared on Schedule A of N•••••• A••••••• L••Mar 29, 2024 · Control person joined · fact
- Stephen Michael Becker (Chief Compliance Officer) no longer on Schedule A of N•••••• A••••••• L•• (listed 2021-06-17, absent 2021-10-06)Oct 6, 2021 · Control person left · inference
- C•••••• L•••• M••••• (Chief Financial Officer) appeared on Schedule A of N•••••• A••••••• L••Mar 28, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- N••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 305-932-6010reportedpublic record, Form ADV, Mar 31, 2026
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
- Other 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