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••••• C•••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 131368SEC 801-63076IAPD
Latest filing Mar 27, 2015
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$7.5B
reported, Item 5.F
Discretionary
100%
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
33
23 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$98.7M gross assets
History
12 filings and snapshots on the tape
RAUM$7.5B as of Mar 27, 2015
Mar 30, 2012$7.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Mar 14, 20130 then
Employees (5.A)33 as of Mar 27, 2015
Mar 14, 201333 then
Private funds3 as of Mar 27, 2015
Mar 30, 20123 then
RAUM +5.4% over the last fiscal year+0.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$7.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$98.7M, 1 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
972reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$98.7M for 1 clientsreported
Compensation
% of AUMreported
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
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    S••••• H••• G•••• F•••• I••••• I••no longer reportedOther Private Fund$26.1M2Mar 30, 2012
    S••••• T•• E•••••••• I•••••••• P••••••••• S••••••• S••••• A•Other Private Fund$20.5M40Mar 27, 2015
    S••••• M••••••••• P••• F•••no longer reportedOther Private Fund$14.8M18Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • A••••••• J•••••• A•••••• · Principalcontrol
      since 06/2004 · owns 5% to 10%
    • C••••••• M••••• T••••• · Principalcontrol
      since 06/2004 · owns less than 5%
    • D••••• C••••••• N•••••• · Managing Principalcontrol
      since 06/2004 · owns 10% to 25%
    • E••••••• S••••• D•••• · Managing Principal, Director Of Marketingcontrol
      since 06/2004 · owns 10% to 25%
    • K•••• I••• · Principalcontrol
      since 01/2011 · owns less than 5%
    • L••••• J•••••••• E••••• · Managing Principal, Chief Investment Officercontrol
      since 06/2004 · owns 10% to 25%
    • P••••• K••••••• M••••• · Principalcontrol
      since 01/2011 · owns less than 5%
    • T•••••••• B•••••••• S•••••• · Managing Principal, Chief Executive Officercontrol
      since 06/2004 · owns 10% to 25%
    • T•••••• D•••••• J••• · Principalcontrol
      since 01/2011 · owns less than 5%
    • W••••• M•••• L•••••• · Principal, Chief Compliance Officercontrol
      since 06/2004 · owns less than 5%
    • W••••••••• J••• · Principalcontrol
      since 01/2006 · owns 5% to 10%
    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 · 921 to 972
      Feb 18, 2015 to Mar 27, 2015
    • Assets in custody · $99.4M to $98.7M
      Feb 18, 2015 to Mar 27, 2015
    • Private funds · 1 to 3
      Feb 18, 2015 to Mar 27, 2015
    • Discretionary RAUM · $7.1B to $7.5B
      Feb 18, 2015 to Mar 27, 2015
    • RAUM · $7.1B to $7.5B
      Feb 18, 2015 to Mar 27, 2015
    • Accounts · 909 to 921
      Sep 23, 2013 to Mar 17, 2014
    • Assets in custody · $134M to $99.4M
      Sep 23, 2013 to Mar 17, 2014
    • Private funds · 2 to 1
      Sep 23, 2013 to Mar 17, 2014
    • Discretionary RAUM · $7.4B to $7.1B
      Sep 23, 2013 to Mar 17, 2014
    • RAUM · $7.4B to $7.1B
      Sep 23, 2013 to Mar 17, 2014
    • Accounts · 904 to 909
      Dec 4, 2012 to Mar 14, 2013
    • Assets in custody · $120M to $134M
      Dec 4, 2012 to Mar 14, 2013
    • Employees · 31 to 33
      Dec 4, 2012 to Mar 14, 2013
    • Private funds · 3 to 2
      Dec 4, 2012 to Mar 14, 2013
    • Discretionary RAUM · $7.4B to $7.4B
      Dec 4, 2012 to Mar 14, 2013
    • RAUM · $7.4B to $7.4B
      Dec 4, 2012 to Mar 14, 2013
    • Advisory employees · unset to 23.0
      Apr 2, 2012 to Dec 4, 2012
    • Advisory activities · 3 to 4
      Apr 2, 2012 to Dec 4, 2012
    • Employees · unset to 31.0
      Apr 2, 2012 to Dec 4, 2012
    • State-registered IARs · unset to 0.0
      Apr 2, 2012 to Dec 4, 2012
    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