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••••••••• A•••••••• I•••

Former SEC-registered adviserStaten Island, New YorkCRD 131345SEC 801-71185IAPD
Latest filing Mar 8, 2022
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
15 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 8, 2022
Mar 30, 20120 then
Employees (5.A)1 as of Mar 8, 2022
Mar 19, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 8, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
90derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.1%derived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, 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 a broker-dealer (6.A.1)
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
85reported
HNW clients
5reported
Pension plan clients
55reported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
none on the tape
    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
      • G••••••••• A•••••• · Chairman, Ceo, Cfo, Financial & Operations Principal, Chief Compliance Officercontrol
        since 04/2004 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list P••••••••• A•••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Individual clients · 86 to 85
        Jun 28, 2021 to Mar 8, 2022
      • Pension plan clients · 56 to 55
        Jun 28, 2021 to Mar 8, 2022
      • Related broker-dealer · true to false
        Mar 9, 2021 to Jun 23, 2021
      • Individual clients · 75 to 86
        Mar 31, 2020 to Mar 9, 2021
      • Pension plan clients · 60 to 56
        Mar 31, 2020 to Mar 9, 2021
      • Employees · 2 to 1
        Mar 31, 2020 to Mar 9, 2021
      • Individual clients · 51 to 75
        Apr 1, 2019 to Mar 31, 2020
      • Pension plan clients · 66 to 60
        Apr 1, 2019 to Mar 31, 2020
      • Other offices · 1 to 0
        Apr 1, 2019 to Mar 31, 2020
      • Advisory employees · 2 to 1
        Mar 31, 2018 to Apr 1, 2019
      • BD registered reps · 3 to 1
        Mar 31, 2018 to Apr 1, 2019
      • HNW clients · unset to 5.0
        Mar 31, 2018 to Apr 1, 2019
      • Individual clients · unset to 51.0
        Mar 31, 2018 to Apr 1, 2019
      • Pension plan clients · 75 to 66
        Mar 31, 2018 to Apr 1, 2019
      • Employees · 3 to 2
        Mar 31, 2018 to Apr 1, 2019
      • State-registered IARs · 2 to 1
        Mar 31, 2018 to Apr 1, 2019
      • Advisory activities · 2 to 3
        May 23, 2017 to Mar 31, 2018
      • Pension plan clients · unset to 75.0
        May 23, 2017 to Mar 31, 2018
      • Other offices · unset to 1.0
        May 23, 2017 to Mar 31, 2018
      • Advisory employees · unset to 2.0
        Mar 30, 2012 to Mar 19, 2013
      • BD registered reps · unset to 3.0
        Mar 30, 2012 to Mar 19, 2013
      • Employees · unset to 3.0
        Mar 30, 2012 to Mar 19, 2013
      • State-registered IARs · 0 to 2
        Mar 30, 2012 to Mar 19, 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