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

F•••• E••••• A•••• M••••••••• I••

Former SEC-registered adviserHauppauge, New YorkCRD 134411SEC 801-69470IAPD
Latest filing Jul 2, 2018
First filing on the tape Nov 28, 2011 · 17 filings
RAUM
$2.2B
reported, Item 5.F
Discretionary
0.0%
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
26
5 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$2.2B as of Feb 22, 2018
Mar 21, 2012$4.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)21 as of Feb 22, 2018
Mar 1, 201329 then
Employees (5.A)26 as of Feb 22, 2018
Mar 1, 201332 then
Private funds: no history
RAUM -24% over the last fiscal year-12% a year over threeIARs 21 to 21
Practice profile
derived from the filing of Jul 2, 2018; every figure names its basis
RAUM per advisor
$104MderivedRAUM 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
$2.2BderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
2.6derived8 offices incl. principal (1.F.5)
RAUM growth, one year
-24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$2.2B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • O••••••• J•••••• S•••••• · Presidentcontrol
      since 06/2008 · owns less than 5%
    • A••••••• G•••• M•••• · Chief Compliance Officer
      since 06/2008 · owns less than 5%
    Entity owners
    • F•••• E••••• H•••••• C•••• · Holding Corporation
      direct · owns 75% or more
    • F•••• E••••• H•••••• C•••• E••••••• S•••• O•••••••• T•••• · Esop/Owner
      indirect · owns 75% or more of F•••• E••••• H•••••• C••••
    • F•••• B•••••• T•••• S••••••• I••• · Trustee
      indirect · owns F of F•••• E••••• H•••••• C••••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Jersey City, NY2 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 6 to 5
      Feb 24, 2017 to Feb 22, 2018
    • Other offices · unset to 7.0
      Feb 24, 2017 to Feb 22, 2018
    • Non-discretionary RAUM · $2.9B to $2.2B
      Feb 24, 2017 to Feb 22, 2018
    • RAUM · $2.9B to $2.2B
      Feb 24, 2017 to Feb 22, 2018
    • Non-discretionary RAUM · $3.2B to $2.9B
      Mar 17, 2016 to Feb 24, 2017
    • RAUM · $3.2B to $2.9B
      Mar 17, 2016 to Feb 24, 2017
    • BD registered reps · 20 to 25
      May 13, 2015 to Mar 17, 2016
    • State-registered IARs · 18 to 21
      May 13, 2015 to Mar 17, 2016
    • Non-discretionary RAUM · $3.1B to $3.2B
      May 13, 2015 to Mar 17, 2016
    • RAUM · $3.1B to $3.2B
      May 13, 2015 to Mar 17, 2016
    • BD registered reps · 28 to 20
      Mar 17, 2014 to Mar 24, 2015
    • Employees · 32 to 26
      Mar 17, 2014 to Mar 24, 2015
    • State-registered IARs · 22 to 18
      Mar 17, 2014 to Mar 24, 2015
    • Non-discretionary RAUM · $3.6B to $3.1B
      Mar 17, 2014 to Mar 24, 2015
    • RAUM · $3.6B to $3.1B
      Mar 17, 2014 to Mar 24, 2015
    • Accounts · 2 to 1
      Dec 12, 2013 to Mar 17, 2014
    • BD registered reps · 30 to 28
      Dec 12, 2013 to Mar 17, 2014
    • State-registered IARs · 29 to 22
      Dec 12, 2013 to Mar 17, 2014
    • Non-discretionary RAUM · $4.6B to $3.6B
      Dec 12, 2013 to Mar 17, 2014
    • RAUM · $4.6B to $3.6B
      Dec 12, 2013 to Mar 17, 2014
    • Accounts · 38 to 2
      Feb 6, 2013 to Mar 1, 2013
    • Advisory activities · 2 to 1
      Feb 6, 2013 to Mar 1, 2013
    • BD registered reps · 25 to 30
      Feb 6, 2013 to Mar 1, 2013
    • Employees · 28 to 32
      Feb 6, 2013 to Mar 1, 2013
    • State-registered IARs · 25 to 29
      Feb 6, 2013 to Mar 1, 2013
    • Discretionary RAUM · $13.1M to $0
      Feb 6, 2013 to Mar 1, 2013
    • Non-discretionary RAUM · $4.7B to $4.6B
      Feb 6, 2013 to Mar 1, 2013
    • RAUM · $4.7B to $4.6B
      Feb 6, 2013 to Mar 1, 2013
    • Advisory employees · unset to 6.0
      Jul 30, 2012 to Nov 27, 2012
    • BD registered reps · unset to 25.0
      Jul 30, 2012 to Nov 27, 2012
    • Employees · unset to 28.0
      Jul 30, 2012 to Nov 27, 2012
    • State-registered IARs · unset to 25.0
      Jul 30, 2012 to Nov 27, 2012
    • Accounts · 39 to 38
      Nov 28, 2011 to Mar 21, 2012
    • Insurance-licensed employees · unset to 0.0
      Nov 28, 2011 to Mar 21, 2012
    • Discretionary RAUM · $17.9M to $13.1M
      Nov 28, 2011 to Mar 21, 2012
    • Non-discretionary RAUM · $4.2B to $4.7B
      Nov 28, 2011 to Mar 21, 2012
    • RAUM · $4.3B to $4.7B
      Nov 28, 2011 to Mar 21, 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