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

G•••••• F•••••••• A••••••• S•••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 125198SEC 801-66621IAPD
Latest filing Mar 31, 2015
First filing on the tape Mar 26, 2012 · 6 filings
RAUM
$25.8M
reported, Item 5.F
Discretionary
0.0%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$25.8M as of Mar 31, 2015
Mar 26, 2012$28.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2015
Mar 26, 20120 then
Employees (5.A)2 as of Mar 31, 2015
Mar 28, 20133 then
Private funds: no history
RAUM -30% over the last fiscal year-3.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
$12.9MderivedRAUM 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
$170,821derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-30%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
151reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    • S••••••• M••• · President/ Managing Member/ Chief Compliance Officer (2006)control
      since 03/2000 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Hasbrouck Heights, NJ
    What changed
    consecutive filings, newest first
    • Accounts · 187 to 151
      Mar 20, 2014 to Mar 31, 2015
    • Employees · 3 to 2
      Mar 20, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $37.0M to $25.8M
      Mar 20, 2014 to Mar 31, 2015
    • RAUM · $37.0M to $25.8M
      Mar 20, 2014 to Mar 31, 2015
    • Accounts · 180 to 187
      Mar 28, 2013 to Mar 20, 2014
    • Advisory employees · 3 to 2
      Mar 28, 2013 to Mar 20, 2014
    • Advisory activities · 4 to 3
      Mar 28, 2013 to Mar 20, 2014
    • Non-discretionary RAUM · $33.3M to $37.0M
      Mar 28, 2013 to Mar 20, 2014
    • RAUM · $33.3M to $37.0M
      Mar 28, 2013 to Mar 20, 2014
    • Accounts · 132 to 180
      Apr 2, 2012 to Mar 28, 2013
    • Advisory employees · unset to 3.0
      Apr 2, 2012 to Mar 28, 2013
    • BD registered reps · unset to 2.0
      Apr 2, 2012 to Mar 28, 2013
    • Employees · unset to 3.0
      Apr 2, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 2
      Apr 2, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $28.3M to $33.3M
      Apr 2, 2012 to Mar 28, 2013
    • RAUM · $28.3M to $33.3M
      Apr 2, 2012 to Mar 28, 2013
    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