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
T••••• A•••• M••••••••• L••
Latest filing Mar 7, 2025
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Mar 12, 2004
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.4B as of Mar 7, 2025
Mar 30, 2012$599M then
HNW client RAUM$1.1B as of Mar 7, 2025
Mar 28, 2018$735M then
State-registered IARs (5.B.3)1 as of Mar 7, 2025
Mar 30, 20120 then
Employees (5.A)8 as of Mar 7, 2025
Mar 27, 20138 then
Private funds: 1
RAUM +9.4% over the last fiscal year-0.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 7, 2025; every figure names its basis
- RAUM per advisor
- $1.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 268derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.2MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $11.8M, 21 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B77%
- Corporations and businesses$151M11%
- Pension and profit-sharing plans$99.2M7.1%
- Individuals$41.1M2.9%
- Charitable organizations$29.0M2.1%
- Individual clients
- 95reported
- HNW clients
- 173reported
- Pension plan clients
- 27reported
- Charitable clients
- n/areported
- Accounts
- 468reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.8M for 21 clientsreported
- Compensation
- % of AUM, commissionsreported
- 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
- S••••• B•••• G••••••••• to M••••••Jul 2, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••• A••••••• R••••• F•••no longer reported | Hedge Fund | $2.5M | 5 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P•••• B•••••••• R• · Managing Principalcontrolsince 03/2004 · owns 75% or more
- M••••• C••••••• · Chief Compliance Officersince 09/2020 · owns less than 5%
- P•••• K•••••••• · Principalsince 12/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 460 to 468Mar 28, 2024 to Mar 7, 2025
- Corporate clients · 13 to 12Mar 28, 2024 to Mar 7, 2025
- HNW clients · 163 to 173Mar 28, 2024 to Mar 7, 2025
- Individual clients · 98 to 95Mar 28, 2024 to Mar 7, 2025
- Assets in custody · $15.3M to $11.8MMar 28, 2024 to Mar 7, 2025
- Discretionary RAUM · $1.3B to $1.4BMar 28, 2024 to Mar 7, 2025
- HNW RAUM · $983M to $1.1BMar 28, 2024 to Mar 7, 2025
- Individual RAUM · $42.7M to $41.1MMar 28, 2024 to Mar 7, 2025
- Pension RAUM · $89.5M to $99.2MMar 28, 2024 to Mar 7, 2025
- RAUM · $1.3B to $1.4BMar 28, 2024 to Mar 7, 2025
- Accounts · 462 to 460Mar 30, 2023 to Mar 28, 2024
- HNW clients · 158 to 163Mar 30, 2023 to Mar 28, 2024
- Individual clients · 110 to 98Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $11.2M to $15.3MMar 30, 2023 to Mar 28, 2024
- Employees · 6 to 8Mar 30, 2023 to Mar 28, 2024
- State-registered IARs · 0 to 1Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.1B to $1.3BMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $859M to $983MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $42.5M to $42.7MMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $76.8M to $89.5MMar 30, 2023 to Mar 28, 2024
- RAUM · $1.1B to $1.3BMar 30, 2023 to Mar 28, 2024
- Accounts · 459 to 462Nov 3, 2022 to Mar 30, 2023
- BD registered reps · 6 to 5Nov 3, 2022 to Mar 30, 2023
- HNW clients · 178 to 158Nov 3, 2022 to Mar 30, 2023
- Individual clients · 104 to 110Nov 3, 2022 to Mar 30, 2023
- Pension plan clients · 28 to 27Nov 3, 2022 to Mar 30, 2023
- Assets in custody · $5.3M to $11.2MNov 3, 2022 to Mar 30, 2023
- Employees · 7 to 6Nov 3, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.4B to $1.1BNov 3, 2022 to Mar 30, 2023
- HNW RAUM · $1.1B to $859MNov 3, 2022 to Mar 30, 2023
- Individual RAUM · $44.8M to $42.5MNov 3, 2022 to Mar 30, 2023
- Pension RAUM · $91.0M to $76.8MNov 3, 2022 to Mar 30, 2023
- RAUM · $1.4B to $1.1BNov 3, 2022 to Mar 30, 2023
- Corporate clients · 12 to 13Oct 7, 2021 to Mar 29, 2022
- HNW clients · 163 to 178Oct 7, 2021 to Mar 29, 2022
- Individual clients · 114 to 104Oct 7, 2021 to Mar 29, 2022
- Pension plan clients · 29 to 28Oct 7, 2021 to Mar 29, 2022
- Assets in custody · $8.1M to $5.3MOct 7, 2021 to Mar 29, 2022
- Employees · 8 to 7Oct 7, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.2B to $1.4BOct 7, 2021 to Mar 29, 2022
Signals
3 dated events
- T••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $1.4B)Aug 1, 2025 · Left the SEC roster · derived
- S••••• B•••• G••••••••• left T••••• A•••• M••••••••• L•• for Mariner (registered 2025-06-02)Jul 2, 2025 · Advisor changed firm · fact
- Zash Margery Flicker (Principal And Chief Compliance Officer) no longer on Schedule A of T••••• A•••• M••••••••• L•• (listed 2020-06-24, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
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