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
P•••••• P•••••••• L••
Latest filing Nov 4, 2020
First filing on the tape Mar 8, 2012 · 19 filings
RAUM
$23.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$21.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$23.5M
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
19 filings and snapshots on the tape
RAUM$76.5M as of Feb 21, 2020
Mar 8, 2012$57.4M then
HNW client RAUM$12.7M as of Feb 21, 2020
Mar 23, 2018$8.2M then
State-registered IARs (5.B.3)1 as of Feb 21, 2020
Mar 8, 20120 then
Employees (5.A)3 as of Feb 21, 2020
Mar 11, 20134 then
Private funds: no history
RAUM -75% over the last fiscal year-51% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Nov 4, 2020; every figure names its basis
- RAUM per advisor
- $23.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $979,167derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.5%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
- -19%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$17.5M74%
- Individuals$4.0M17%
- Pension and profit-sharing plans$1.0M4.3%
- Charitable organizations$1.0M4.3%
- Individual clients
- 9reported
- HNW clients
- 13reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 24reported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• M•••••• D••••••Certified Financial Planner | San Juan, Pr | Feb 19, 2021 | 39 y | 1 |
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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• E•••••• M•••••• · Managing Member/Chief Compliance Officercontrolsince 07/1999 · 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 · 33 to 24Oct 16, 2020 to Nov 4, 2020
- Advisory employees · 2 to 1Oct 16, 2020 to Nov 4, 2020
- Advisory activities · 4 to 2Oct 16, 2020 to Nov 4, 2020
- HNW clients · 10 to 13Oct 16, 2020 to Nov 4, 2020
- Individual clients · 8 to 9Oct 16, 2020 to Nov 4, 2020
- Employees · 3 to 1Oct 16, 2020 to Nov 4, 2020
- Discretionary RAUM · $76.5M to $23.5MOct 16, 2020 to Nov 4, 2020
- HNW RAUM · $12.7M to $17.5MOct 16, 2020 to Nov 4, 2020
- Individual RAUM · $3.1M to $4.0MOct 16, 2020 to Nov 4, 2020
- Pension RAUM · $1.2M to $1.0MOct 16, 2020 to Nov 4, 2020
- RAUM · $76.5M to $23.5MOct 16, 2020 to Nov 4, 2020
- Other offices · 1 to 0Mar 26, 2020 to Jun 29, 2020
- HNW clients · 9 to 10Jan 2, 2020 to Feb 21, 2020
- Individual clients · 6 to 8Jan 2, 2020 to Feb 21, 2020
- Pension plan clients · 2 to 1Jan 2, 2020 to Feb 21, 2020
- Discretionary RAUM · $94.9M to $76.5MJan 2, 2020 to Feb 21, 2020
- HNW RAUM · $8.7M to $12.7MJan 2, 2020 to Feb 21, 2020
- Individual RAUM · $2.6M to $3.1MJan 2, 2020 to Feb 21, 2020
- Pension RAUM · $1.5M to $1.2MJan 2, 2020 to Feb 21, 2020
- RAUM · $94.9M to $76.5MJan 2, 2020 to Feb 21, 2020
- Succession · true to falseJan 2, 2020 to Feb 21, 2020
- HQ city · NEW YORK to unsetAug 28, 2019 to Jan 2, 2020
- HQ state · NY to unsetAug 28, 2019 to Jan 2, 2020
- Other offices · 0 to 1Aug 28, 2019 to Jan 2, 2020
- Succession · false to trueAug 28, 2019 to Jan 2, 2020
- Employees · 4 to 3Mar 11, 2019 to Aug 28, 2019
- State-registered IARs · 0 to 1Mar 11, 2019 to Aug 28, 2019
- Accounts · 35 to 33Mar 23, 2018 to Mar 11, 2019
- Advisory employees · 3 to 2Mar 23, 2018 to Mar 11, 2019
- Pension plan clients · 3 to 2Mar 23, 2018 to Mar 11, 2019
- Employees · 5 to 4Mar 23, 2018 to Mar 11, 2019
- Discretionary RAUM · $133M to $94.9MMar 23, 2018 to Mar 11, 2019
- HNW RAUM · $8.2M to $8.7MMar 23, 2018 to Mar 11, 2019
- Individual RAUM · $3.0M to $2.6MMar 23, 2018 to Mar 11, 2019
- Pension RAUM · $3.1M to $1.5MMar 23, 2018 to Mar 11, 2019
- RAUM · $133M to $94.9MMar 23, 2018 to Mar 11, 2019
- Accounts · 40 to 35Mar 31, 2017 to Mar 23, 2018
- Charity clients · unset to 1.0Mar 31, 2017 to Mar 23, 2018
- Corporate clients · unset to 0.0Mar 31, 2017 to Mar 23, 2018
- HNW clients · unset to 9.0Mar 31, 2017 to Mar 23, 2018
Signals
6 dated events
- Albert Michael Gayed (Member) no longer on Schedule A of P•••••• P•••••••• L•• (listed 2020-10-16, absent 2020-11-04)Nov 4, 2020 · Control person left · inference
- Lee Christopher Payne (Chief Compliance Officer) no longer on Schedule A of P•••••• P•••••••• L•• (listed 2020-03-26, absent 2020-06-29)Jun 29, 2020 · Control person left · inference
- P•••••• P•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 2, 2020 · Succession (Item 4) · fact
- Charles Bryan Haft (Chief Compliance Officer) no longer on Schedule A of P•••••• P•••••••• L•• (listed 2019-03-11, absent 2019-08-28)Aug 28, 2019 · Control person left · inference
- Lee Christopher Payne (Chief Compliance Officer) appeared on Schedule A of P•••••• P•••••••• L••Aug 28, 2019 · Control person joined · fact
- Charles Bryan Haft (Chief Compliance Officer) appeared on Schedule A of P•••••• P•••••••• L••Mar 11, 2019 · Control person joined · fact
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
- $23.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026