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

R• A••••••• G••••• L••

Former SEC-registered adviserNew York, New YorkCRD 124540SEC 801-64048IAPD
Latest filing Dec 10, 2013
First filing on the tape Jan 5, 2012 · 15 filings
RAUM
$549M
reported, Item 5.F
Discretionary
88%
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
19
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$489M as of Mar 28, 2013
Mar 21, 2012$465M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 19
Private funds: no history
RAUM +18% over the last fiscal year
Practice profile
derived from the filing of Dec 10, 2013; 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
$490,891derivedRAUM over accounts (5.F.2.f)
Discretionary
88%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
+5.2%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody
$4.9M, 14 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates non-employees for client referrals (8.G.2)
  • 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
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
1,119reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$4.9M for 14 clientsreported
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
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
    • R••••••••• R••••••• A••• · Co-Managing Membercontrol
      since 01/2003 · owns 25% to 50%
    • R••••••• R••••••• J••••• · Co-Managing Member And Chief Compliance Officercontrol
      since 11/2005 · owns 25% to 50%
    • M•••••••• J•••••• B•••• · Member
      since 12/2011 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY
    What changed
    consecutive filings, newest first
    • Accounts · 1,064 to 1,119
      Oct 2, 2013 to Nov 14, 2013
    • Discretionary RAUM · $454M to $481M
      Oct 2, 2013 to Nov 14, 2013
    • Non-discretionary RAUM · $65.7M to $67.8M
      Oct 2, 2013 to Nov 14, 2013
    • RAUM · $520M to $549M
      Oct 2, 2013 to Nov 14, 2013
    • Assets in custody · $5.1M to $4.9M
      Nov 14, 2013 to Nov 14, 2013
    • Accounts · 1,056 to 1,064
      Jun 3, 2013 to Aug 20, 2013
    • Assets in custody · $5.2M to $5.1M
      Jun 3, 2013 to Aug 20, 2013
    • Discretionary RAUM · $468M to $454M
      Jun 3, 2013 to Aug 20, 2013
    • Non-discretionary RAUM · $64.4M to $65.7M
      Jun 3, 2013 to Aug 20, 2013
    • RAUM · $532M to $520M
      Jun 3, 2013 to Aug 20, 2013
    • Accounts · 971 to 1,056
      Mar 28, 2013 to Jun 3, 2013
    • Assets in custody · $5.3M to $5.2M
      Mar 28, 2013 to Jun 3, 2013
    • Discretionary RAUM · $429M to $468M
      Mar 28, 2013 to Jun 3, 2013
    • Non-discretionary RAUM · $59.7M to $64.4M
      Mar 28, 2013 to Jun 3, 2013
    • RAUM · $489M to $532M
      Mar 28, 2013 to Jun 3, 2013
    • Discretionary RAUM · $391M to $429M
      Jan 9, 2013 to Mar 28, 2013
    • Non-discretionary RAUM · $191M to $59.7M
      Jan 9, 2013 to Mar 28, 2013
    • RAUM · $582M to $489M
      Jan 9, 2013 to Mar 28, 2013
    • Accounts · 1,085 to 971
      Jan 9, 2013 to Mar 28, 2013
    • Assets in custody · $91,644 to $5.3M
      Jan 9, 2013 to Mar 28, 2013
    • Accounts · 1,077 to 1,085
      Nov 12, 2012 to Jan 9, 2013
    • Assets in custody · $81,563 to $91,644
      Nov 12, 2012 to Jan 9, 2013
    • Discretionary RAUM · $364M to $391M
      Nov 12, 2012 to Jan 9, 2013
    • Non-discretionary RAUM · $186M to $191M
      Nov 12, 2012 to Jan 9, 2013
    • RAUM · $550M to $582M
      Nov 12, 2012 to Jan 9, 2013
    • Advisory employees · unset to 12.0
      Sep 6, 2012 to Nov 12, 2012
    • Employees · unset to 19.0
      Sep 6, 2012 to Nov 12, 2012
    • State-registered IARs · unset to 0.0
      Sep 6, 2012 to Nov 12, 2012
    • Accounts · 1,137 to 1,077
      Jun 20, 2012 to Sep 6, 2012
    • Assets in custody · $153,279 to $81,563
      Jun 20, 2012 to Sep 6, 2012
    • Discretionary RAUM · $361M to $364M
      Jun 20, 2012 to Sep 6, 2012
    • Non-discretionary RAUM · $191M to $186M
      Jun 20, 2012 to Sep 6, 2012
    • RAUM · $552M to $550M
      Jun 20, 2012 to Sep 6, 2012
    • Accounts · 1,055 to 1,137
      Apr 16, 2012 to Jun 20, 2012
    • Assets in custody · $96,359 to $153,279
      Apr 16, 2012 to Jun 20, 2012
    • Discretionary RAUM · $328M to $361M
      Apr 16, 2012 to Jun 20, 2012
    • Non-discretionary RAUM · $136M to $191M
      Apr 16, 2012 to Jun 20, 2012
    • RAUM · $465M to $552M
      Apr 16, 2012 to Jun 20, 2012
    • Accounts · 965 to 1,055
      Jan 5, 2012 to Mar 21, 2012
    • Assets in custody · $16,614 to $96,359
      Jan 5, 2012 to Mar 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.
    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