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

E•••••••• R••••••• P••••••• L••

STATE REGISTEREDNew York`, New YorkCRD 123520websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Mar 31, 2026 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
23.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
unknownreportedItem 5.E
Advisory activities
unknownreportedItem 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
  • is a broker-dealer (6.A.1)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
18 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L•••• L••••• A••••New York, NyAug 23, 202323 y0
R•••••• S••••• D•••••Chartered Financial AnalystNew York, NyAug 23, 202315 y0
N••••• R•• P••••Chagrin Falls, Oh Aug 23, 202324 y0
D•••• R••••• H•••••New York, NyAug 23, 202323 y0
R•••••••• H••••• C••••Chartered Financial AnalystNew York, NyAug 23, 202317 y0
S•••••• Y•••Chartered Financial AnalystNew York, NyAug 23, 202322 y0
L••••••• Z•••Chartered Financial AnalystNew York, NyAug 23, 202319 y0
K•••••• C•••••• L•••••••••New York, NyAug 23, 202316 y0
J••• M•••••• G••••New York, NyAug 23, 202314 y0
A••• B•••New York, NyAug 23, 202315 y0
Y• L••New York, NyAug 23, 202315 y0
D••••• T•••• R••••••••New York, NyAug 23, 202310 y0
Y• B••New York, NyAug 23, 202312 y0
J•••• G•••••••New York, NyAug 23, 202312 y0
W••••• A••• S•••Atlanta, Ga Aug 23, 202317 y0
M•••••• L•••• G••••••••New York, NyAug 23, 202339 y0
J••• M•••••• C•••••••••New York, NyAug 23, 202332 y0
B•••••• J••• H••••New York, NyAug 23, 202332 y2
Advisor movement
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    New York, Ny1800
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    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.
    How to reach
    public business contact points only, each with its source
    Website
    empirical-research.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    212-803-8000reportedpublic 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
    STATE REGISTEREDderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026