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

S••••••• W••••• A•••••••• L••

Former SEC-registered adviserS••••••• Springs, New YorkCRD 124529SEC 801-61681IAPD
Latest filing Mar 21, 2023
First filing on the tape Mar 20, 2012 · 15 filings
RAUM
$93.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$93.0M 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
15 filings and snapshots on the tape
RAUM$93.0M as of Mar 21, 2023
Mar 20, 2012$51.9M then
HNW client RAUM$68.2M as of Mar 21, 2023
Apr 30, 2018$60.8M then
State-registered IARs (5.B.3)0 as of Mar 21, 2023
Mar 20, 20120 then
Employees (5.A)1 as of Mar 21, 2023
Mar 26, 20135 then
Private funds: no history
RAUM -20% over the last fiscal year-1.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2023; 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
$1.9MderivedHNW RAUM over HNW clients
Average account
$321,639derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-9.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, 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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$68.2M73%
  • Individuals$24.8M27%
Individual clients
61reported
HNW clients
35reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
289reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
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
      • T••••••••• J••••••• A••••• · Member/Chief Compliance Officercontrol
        since 12/2002 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HNW clients · 34 to 35
        Mar 29, 2022 to Mar 21, 2023
      • Individual clients · 72 to 61
        Mar 29, 2022 to Mar 21, 2023
      • Discretionary RAUM · $116M to $92.9M
        Mar 29, 2022 to Mar 21, 2023
      • HNW RAUM · $94.4M to $68.2M
        Mar 29, 2022 to Mar 21, 2023
      • Individual RAUM · $22.2M to $24.8M
        Mar 29, 2022 to Mar 21, 2023
      • Non-discretionary RAUM · $512,747 to $50,365
        Mar 29, 2022 to Mar 21, 2023
      • RAUM · $117M to $93.0M
        Mar 29, 2022 to Mar 21, 2023
      • Accounts · 300 to 289
        Apr 29, 2021 to Mar 29, 2022
      • HNW clients · 36 to 34
        Apr 29, 2021 to Mar 29, 2022
      • Individual clients · 70 to 72
        Apr 29, 2021 to Mar 29, 2022
      • Discretionary RAUM · $106M to $116M
        Apr 29, 2021 to Mar 29, 2022
      • HNW RAUM · $88.5M to $94.4M
        Apr 29, 2021 to Mar 29, 2022
      • Individual RAUM · $19.1M to $22.2M
        Apr 29, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $1.0M to $512,747
        Apr 29, 2021 to Mar 29, 2022
      • RAUM · $108M to $117M
        Apr 29, 2021 to Mar 29, 2022
      • Accounts · 315 to 300
        Jun 29, 2020 to Mar 29, 2021
      • HNW clients · 129 to 36
        Jun 29, 2020 to Mar 29, 2021
      • Individual clients · 186 to 70
        Jun 29, 2020 to Mar 29, 2021
      • Employees · 2 to 1
        Jun 29, 2020 to Mar 29, 2021
      • Discretionary RAUM · $96.7M to $106M
        Jun 29, 2020 to Mar 29, 2021
      • HNW RAUM · $73.5M to $88.5M
        Jun 29, 2020 to Mar 29, 2021
      • Individual RAUM · $23.8M to $19.1M
        Jun 29, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $591,590 to $1.0M
        Jun 29, 2020 to Mar 29, 2021
      • RAUM · $97.3M to $108M
        Jun 29, 2020 to Mar 29, 2021
      • Accounts · 326 to 315
        Mar 27, 2019 to Mar 29, 2020
      • Advisory activities · 3 to 4
        Mar 27, 2019 to Mar 29, 2020
      • HNW clients · 93 to 129
        Mar 27, 2019 to Mar 29, 2020
      • Individual clients · 212 to 186
        Mar 27, 2019 to Mar 29, 2020
      • Discretionary RAUM · $87.0M to $96.7M
        Mar 27, 2019 to Mar 29, 2020
      • HNW RAUM · $58.9M to $73.5M
        Mar 27, 2019 to Mar 29, 2020
      • Individual RAUM · $28.5M to $23.8M
        Mar 27, 2019 to Mar 29, 2020
      • Non-discretionary RAUM · $420,090 to $591,590
        Mar 27, 2019 to Mar 29, 2020
      • RAUM · $87.4M to $97.3M
        Mar 27, 2019 to Mar 29, 2020
      • Accounts · 304 to 326
        Apr 30, 2018 to Mar 27, 2019
      • HNW clients · 85 to 93
        Apr 30, 2018 to Mar 27, 2019
      • Individual clients · 204 to 212
        Apr 30, 2018 to Mar 27, 2019
      • Discretionary RAUM · $99.4M to $87.0M
        Apr 30, 2018 to Mar 27, 2019
      • HNW RAUM · $60.8M to $58.9M
        Apr 30, 2018 to Mar 27, 2019
      • Individual RAUM · $38.9M to $28.5M
        Apr 30, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $364,800 to $420,090
        Apr 30, 2018 to Mar 27, 2019
      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.
      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