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••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 124784SEC 801-69581IAPD
Latest filing Aug 23, 2024
First filing on the tape Apr 2, 2012 · 27 filings
RAUM
$20.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$18.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$20.9M
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
27 filings and snapshots on the tape
RAUM$20.9M as of Mar 28, 2024
Apr 2, 2012$70.7M then
HNW client RAUM$18.1M as of Mar 28, 2024
Mar 28, 2018$92.2M then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Apr 2, 20120 then
Employees (5.A)1 as of Mar 28, 2024
Mar 28, 20132 then
Private funds: no history
RAUM +8.8% over the last fiscal year-45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 23, 2024; every figure names its basis
RAUM per advisor
$20.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$377,402derivedHNW RAUM over HNW clients
Average account
$326,410derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-15%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
yesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$18.1M87%
  • Pension and profit-sharing plans$1.4M6.5%
  • Corporations and businesses$590,4162.8%
  • Individuals$430,3182.1%
  • Charitable organizations$387,2921.9%
Individual clients
12reported
HNW clients
48reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
64reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
O••• P•••••• J••• K•••New York, NyAug 30, 202123 y2
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••• O•••• P•••••• J••• · Managing Member /President/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
  • Accounts · 74 to 64
    Mar 31, 2023 to Mar 28, 2024
  • Corporate clients · 1 to 2
    Mar 31, 2023 to Mar 28, 2024
  • HNW clients · 55 to 48
    Mar 31, 2023 to Mar 28, 2024
  • Individual clients · 16 to 12
    Mar 31, 2023 to Mar 28, 2024
  • Discretionary RAUM · $19.2M to $20.9M
    Mar 31, 2023 to Mar 28, 2024
  • HNW RAUM · $16.9M to $18.1M
    Mar 31, 2023 to Mar 28, 2024
  • Individual RAUM · $769,787 to $430,318
    Mar 31, 2023 to Mar 28, 2024
  • Pension RAUM · $1.1M to $1.4M
    Mar 31, 2023 to Mar 28, 2024
  • RAUM · $19.2M to $20.9M
    Mar 31, 2023 to Mar 28, 2024
  • Accounts · 88 to 74
    Oct 12, 2022 to Mar 31, 2023
  • HNW clients · 35 to 55
    Oct 12, 2022 to Mar 31, 2023
  • Individual clients · 12 to 16
    Oct 12, 2022 to Mar 31, 2023
  • Discretionary RAUM · $28.1M to $19.2M
    Oct 12, 2022 to Mar 31, 2023
  • HNW RAUM · $24.9M to $16.9M
    Oct 12, 2022 to Mar 31, 2023
  • Individual RAUM · $1.2M to $769,787
    Oct 12, 2022 to Mar 31, 2023
  • Pension RAUM · $1.2M to $1.1M
    Oct 12, 2022 to Mar 31, 2023
  • RAUM · $28.1M to $19.2M
    Oct 12, 2022 to Mar 31, 2023
  • Accounts · 245 to 88
    Sep 17, 2021 to Mar 31, 2022
  • Charity clients · 3 to 1
    Sep 17, 2021 to Mar 31, 2022
  • Corporate clients · 3 to 1
    Sep 17, 2021 to Mar 31, 2022
  • HNW clients · 218 to 35
    Sep 17, 2021 to Mar 31, 2022
  • Individual clients · 19 to 12
    Sep 17, 2021 to Mar 31, 2022
  • Pension plan clients · 2 to 1
    Sep 17, 2021 to Mar 31, 2022
  • Assets in custody · $2.6M to $0
    Sep 17, 2021 to Mar 31, 2022
  • Discretionary RAUM · $123M to $28.1M
    Sep 17, 2021 to Mar 31, 2022
  • HNW RAUM · $115M to $24.9M
    Sep 17, 2021 to Mar 31, 2022
  • Individual RAUM · $1.4M to $1.2M
    Sep 17, 2021 to Mar 31, 2022
  • Pension RAUM · $1.1M to $1.2M
    Sep 17, 2021 to Mar 31, 2022
  • RAUM · $123M to $28.1M
    Sep 17, 2021 to Mar 31, 2022
  • Advisory employees · 2 to 1
    Mar 23, 2021 to Sep 17, 2021
  • Employees · 2 to 1
    Mar 23, 2021 to Sep 17, 2021
  • Accounts · 270 to 245
    Jun 29, 2020 to Mar 23, 2021
  • HNW clients · 233 to 218
    Jun 29, 2020 to Mar 23, 2021
  • Individual clients · 29 to 19
    Jun 29, 2020 to Mar 23, 2021
  • Pooled vehicle clients · unset to 0.0
    Jun 29, 2020 to Mar 23, 2021
  • Assets in custody · $2.5M to $2.6M
    Jun 29, 2020 to Mar 23, 2021
  • Discretionary RAUM · $105M to $123M
    Jun 29, 2020 to Mar 23, 2021
  • HNW RAUM · $97.0M to $115M
    Jun 29, 2020 to Mar 23, 2021
  • Individual RAUM · $1.2M to $1.4M
    Jun 29, 2020 to Mar 23, 2021
  • Pension RAUM · $981,690 to $1.1M
    Jun 29, 2020 to Mar 23, 2021
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
S•••••••••.NETreportedpublic record, Form ADV, Sep 19, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$20.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026