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

A•••••••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 132067SEC 801-63271IAPD
Latest filing Mar 25, 2024
First filing on the tape Mar 26, 2012 · 28 filings
RAUM
$200M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$181M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$200M as of Mar 25, 2024
Mar 26, 2012$113M then
HNW client RAUM$179M as of Mar 25, 2024
Mar 23, 2018$135M then
State-registered IARs (5.B.3)0 as of Mar 25, 2024
Mar 26, 20120 then
Employees (5.A)2 as of Mar 25, 2024
Mar 12, 20132 then
Private funds1 as of Feb 26, 2015
Mar 26, 20121 then
RAUM +14% over the last fiscal year+3.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2024; 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
$6.6MderivedHNW RAUM over HNW clients
Average account
$4.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.4%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
+14%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, otherreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$179M90%
  • Charitable organizations$11.5M5.7%
  • Pension and profit-sharing plans$7.3M3.7%
  • Individuals$2.0M1.0%
Individual clients
n/areported
HNW clients
27reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
48reported
Financial planning clients
0reported
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
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
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    W•••••• D••••••••• L••no longer reportedVenture Capital Fund$207,10318Mar 26, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • G••••• J••• G••••••••• M•• D••••• · Managing Membercontrol
      since 06/2004 · owns 75% or more
    • H•••••• J•••••• · Chief Compliance Officer
      since 11/2020 · owns less than 5%
    • S••••• D••••••• M•••• · Vice President And Administrative Officer
      since 03/2016 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    New York, Ny · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 53 to 48
      Apr 26, 2023 to Mar 25, 2024
    • Individual clients · 6.0 to unset
      Apr 26, 2023 to Mar 25, 2024
    • Assets in custody · 20546195.0 to unset
      Apr 26, 2023 to Mar 25, 2024
    • Discretionary RAUM · $174M to $200M
      Apr 26, 2023 to Mar 25, 2024
    • HNW RAUM · $155M to $179M
      Apr 26, 2023 to Mar 25, 2024
    • Individual RAUM · $4.0M to $2.0M
      Apr 26, 2023 to Mar 25, 2024
    • Non-discretionary RAUM · $1.1M to $0
      Apr 26, 2023 to Mar 25, 2024
    • Pension RAUM · $6.3M to $7.3M
      Apr 26, 2023 to Mar 25, 2024
    • RAUM · $175M to $200M
      Apr 26, 2023 to Mar 25, 2024
    • Financial planning clients · unset to 0
      Mar 25, 2022 to Mar 29, 2023
    • Discretionary RAUM · $205M to $174M
      Mar 25, 2022 to Mar 29, 2023
    • HNW RAUM · $183M to $155M
      Mar 25, 2022 to Mar 29, 2023
    • Individual RAUM · $3.4M to $4.0M
      Mar 25, 2022 to Mar 29, 2023
    • Non-discretionary RAUM · $1.3M to $1.1M
      Mar 25, 2022 to Mar 29, 2023
    • Pension RAUM · $7.2M to $6.3M
      Mar 25, 2022 to Mar 29, 2023
    • RAUM · $206M to $175M
      Mar 25, 2022 to Mar 29, 2023
    • Accounts · 59 to 53
      Mar 30, 2021 to Mar 25, 2022
    • HNW clients · 30 to 27
      Mar 30, 2021 to Mar 25, 2022
    • Assets in custody · $20.5M to $20.5M
      Mar 30, 2021 to Mar 25, 2022
    • Custody of client assets · true to false
      Mar 30, 2021 to Mar 25, 2022
    • Discretionary RAUM · $180M to $205M
      Mar 30, 2021 to Mar 25, 2022
    • HNW RAUM · $160M to $183M
      Mar 30, 2021 to Mar 25, 2022
    • Individual RAUM · $3.4M to $3.4M
      Mar 30, 2021 to Mar 25, 2022
    • Non-discretionary RAUM · $1.2M to $1.3M
      Mar 30, 2021 to Mar 25, 2022
    • Pension RAUM · $6.8M to $7.2M
      Mar 30, 2021 to Mar 25, 2022
    • RAUM · $181M to $206M
      Mar 30, 2021 to Mar 25, 2022
    • Accounts · 58 to 59
      Mar 22, 2021 to Mar 30, 2021
    • HNW clients · 27 to 30
      Mar 22, 2021 to Mar 30, 2021
    • Individual clients · 9 to 6
      Mar 22, 2021 to Mar 30, 2021
    • Discretionary RAUM · $164M to $180M
      Mar 22, 2021 to Mar 30, 2021
    • HNW RAUM · $149M to $160M
      Mar 22, 2021 to Mar 30, 2021
    • Individual RAUM · $3.8M to $3.4M
      Mar 22, 2021 to Mar 30, 2021
    • Non-discretionary RAUM · $1.4M to $1.2M
      Mar 22, 2021 to Mar 30, 2021
    • Pension RAUM · $2.2M to $6.8M
      Mar 22, 2021 to Mar 30, 2021
    • RAUM · $165M to $181M
      Mar 22, 2021 to Mar 30, 2021
    • Accounts · 33 to 58
      Oct 1, 2019 to Mar 27, 2020
    • Advisory employees · 1 to 2
      Oct 1, 2019 to Mar 27, 2020
    • HNW clients · 15 to 27
      Oct 1, 2019 to Mar 27, 2020
    • Individual clients · 13 to 9
      Oct 1, 2019 to Mar 27, 2020
    • Assets in custody · $17.9M to $20.5M
      Oct 1, 2019 to Mar 27, 2020
    Signals
    1 dated events
    • G•••••••• M•••••••• G••••• left A•••••••• A•••• M••••••••• L•• for F• L• P••••• I••••••••• M••••••••• C•• (registered 2024-07-26)
      Dec 19, 2024 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    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