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•••••• P•••••••• L••

Former SEC-registered adviserStamford, ConnecticutCRD 124171SEC 801-64972IAPD
Latest filing Mar 23, 2021
First filing on the tape Feb 27, 2012 · 12 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
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$1.4B as of Mar 23, 2021
Feb 27, 2012$983M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2021
Feb 27, 20120 then
Employees (5.A)3 as of Mar 23, 2021
Feb 5, 20136 then
Private funds: no history
RAUM -20% over the last fiscal year-4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2021; 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
$452MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-20%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$1.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • F••••••• M••••••• R••• · Managercontrol
        since 01/2020 · owns less than 5%
      • T•••••• D••••• A•••••• · Chief Compliance Officer
        since 01/2020 · owns less than 5%
      Entity owners
      • A•••••• A•••• M••••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 3
        Jan 30, 2020 to Mar 23, 2021
      • Advisory employees · 3 to 2
        Jan 30, 2020 to Mar 23, 2021
      • Employees · 4 to 3
        Jan 30, 2020 to Mar 23, 2021
      • Discretionary RAUM · $1.7B to $1.4B
        Jan 30, 2020 to Mar 23, 2021
      • RAUM · $1.7B to $1.4B
        Jan 30, 2020 to Mar 23, 2021
      • Employees · 5 to 4
        Jan 25, 2019 to Jan 29, 2020
      • Discretionary RAUM · $1.4B to $1.7B
        Jan 25, 2019 to Jan 29, 2020
      • RAUM · $1.4B to $1.7B
        Jan 25, 2019 to Jan 29, 2020
      • Related adviser · false to true
        Jan 25, 2019 to Jan 29, 2020
      • Employees · 6 to 5
        Feb 28, 2018 to Jan 25, 2019
      • Discretionary RAUM · $1.5B to $1.4B
        Feb 28, 2018 to Jan 25, 2019
      • RAUM · $1.5B to $1.4B
        Feb 28, 2018 to Jan 25, 2019
      • Accounts · 6 to 5
        Jan 26, 2017 to Feb 28, 2018
      • Other offices · unset to 0.0
        Jan 26, 2017 to Feb 28, 2018
      • Discretionary RAUM · $1.1B to $1.5B
        Jan 26, 2017 to Feb 28, 2018
      • RAUM · $1.1B to $1.5B
        Jan 26, 2017 to Feb 28, 2018
      • Discretionary RAUM · $1.2B to $1.1B
        Jan 26, 2016 to Jan 26, 2017
      • RAUM · $1.2B to $1.1B
        Jan 26, 2016 to Jan 26, 2017
      • Accounts · 7 to 6
        Dec 14, 2015 to Jan 26, 2016
      • Advisory employees · 4 to 3
        Dec 14, 2015 to Jan 26, 2016
      • Employees · 7 to 6
        Dec 14, 2015 to Jan 26, 2016
      • Discretionary RAUM · $1.4B to $1.2B
        Dec 14, 2015 to Jan 26, 2016
      • RAUM · $1.4B to $1.2B
        Dec 14, 2015 to Jan 26, 2016
      • Accounts · 8 to 7
        Jan 30, 2014 to Feb 2, 2015
      • Advisory employees · 3 to 4
        Jan 30, 2014 to Feb 2, 2015
      • Employees · 6 to 7
        Jan 30, 2014 to Feb 2, 2015
      • Discretionary RAUM · $1.4B to $1.4B
        Jan 30, 2014 to Feb 2, 2015
      • RAUM · $1.4B to $1.4B
        Jan 30, 2014 to Feb 2, 2015
      • Advisory employees · 2 to 3
        Feb 5, 2013 to Jan 30, 2014
      • State-registered IARs · 2 to 0
        Feb 5, 2013 to Jan 30, 2014
      • Discretionary RAUM · $1.1B to $1.4B
        Feb 5, 2013 to Jan 30, 2014
      • RAUM · $1.1B to $1.4B
        Feb 5, 2013 to Jan 30, 2014
      • Advisory employees · unset to 2.0
        Feb 27, 2012 to Feb 5, 2013
      • Employees · unset to 6.0
        Feb 27, 2012 to Feb 5, 2013
      • State-registered IARs · 0 to 2
        Feb 27, 2012 to Feb 5, 2013
      • Discretionary RAUM · $983M to $1.1B
        Feb 27, 2012 to Feb 5, 2013
      • RAUM · $983M to $1.1B
        Feb 27, 2012 to Feb 5, 2013
      Signals
      2 dated events
      • Ann Elizabeth Knope (Manager) no longer on Schedule A of C•••••• P•••••••• L•• (listed 2020-01-30, absent 2021-03-23)
        Mar 23, 2021 · Control person left · inference
      • C•••••• P•••••••• L•• reported RAUM $1.5B, up 38% from $1.1B (2017-01-26 to 2018-02-28)
        Feb 28, 2018 · RAUM change · derived
      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