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
C•• A•••••••• I•••
Latest filing Feb 3, 2026
First filing on the tape Jan 30, 2012 · 26 filings
SEC status approved since Oct 31, 2003
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$0 as of Feb 3, 2026
Jan 29, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 3, 2026
Feb 8, 20132 then
Employees (5.A)4 as of Feb 3, 2026
Feb 8, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $0derivedRAUM 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
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
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
- 271reported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••••• E••• C•••••••• | New York, Ny | Oct 3, 2008 | 25 y | 0 |
| M•••••• D•••• B••• | Brooklyn, Ny | Oct 3, 2008 | 31 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• M••••••• E• · Principalcontrolsince 08/2001 · owns 25% to 50%
- C••••••••• P•••••••• E••• · Principal And Chief Compliance Officercontrolsince 08/2001 · owns 10% to 25%
- M•••••• A••• · Principalcontrolsince 08/2001 · owns 25% to 50%
- B•••• M••••••• D•••• · Principalsince 01/2007 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Pension plan clients · 265 to 271Jan 29, 2025 to Feb 3, 2026
- Accounts · unset to 0.0Jan 26, 2024 to Jan 29, 2025
- Pension plan clients · 281 to 265Jan 26, 2024 to Jan 29, 2025
- Financial planning clients · unset to Jan 26, 2024 to Jan 29, 2025
- Discretionary RAUM · unset to 0.0Jan 26, 2024 to Jan 29, 2025
- Non-discretionary RAUM · unset to 0.0Jan 26, 2024 to Jan 29, 2025
- RAUM · unset to 0.0Jan 26, 2024 to Jan 29, 2025
- Pension plan clients · 264 to 281Jan 2, 2024 to Jan 26, 2024
- Other offices · 0 to 2Jan 2, 2024 to Jan 26, 2024
- HQ city · NEW YORK to BOCA RATONJan 20, 2023 to Jan 2, 2024
- HQ state · NY to FLJan 20, 2023 to Jan 2, 2024
- Pension plan clients · 270 to 264Aug 3, 2022 to Jan 20, 2023
- Pension plan clients · 268 to 270Jan 27, 2021 to Feb 17, 2022
- Pension plan clients · 270 to 268Feb 13, 2020 to Jan 27, 2021
- Pension plan clients · 264 to 270Oct 8, 2019 to Feb 13, 2020
- Pension plan clients · 247 to 264Mar 10, 2018 to Mar 18, 2019
- Pension plan clients · unset to 247.0Sep 15, 2017 to Mar 10, 2018
- Assets in custody · 612328706.0 to unsetSep 15, 2017 to Mar 10, 2018
- Custody of client assets · true to falseSep 15, 2017 to Mar 10, 2018
- Other offices · unset to 0.0Sep 15, 2017 to Mar 10, 2018
- Pension RAUM · unset to 0.0Sep 15, 2017 to Mar 10, 2018
- Assets in custody · $544M to $612MOct 17, 2016 to Feb 10, 2017
- Assets in custody · $546M to $544MJan 21, 2015 to Feb 4, 2016
- Assets in custody · $456M to $546MNov 12, 2014 to Jan 21, 2015
- Assets in custody · unset to 455505000.0Feb 8, 2013 to Mar 26, 2014
- Custody of client assets · false to trueFeb 8, 2013 to Mar 26, 2014
- Advisory employees · unset to 2.0Jul 20, 2012 to Nov 21, 2012
- Employees · unset to 4.0Jul 20, 2012 to Nov 21, 2012
- State-registered IARs · unset to 2.0Jul 20, 2012 to Nov 21, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-402-1850reportedpublic record, Form ADV, Feb 3, 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
- No RAUM reportedderiveda 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