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••••••••• A•••••••

Former SEC-registered adviserEnglewood Cliffs, New JerseyCRD 137194SEC 801-65375IAPD
Legal name Z•••••••• R••••• E•••
Latest filing Jan 9, 2015
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$3.9B
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
44
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$3.0B as of Mar 28, 2014
Mar 30, 2012$4.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 28, 20130 then
Employees (5.A)43 as of Mar 28, 2014
Mar 28, 201343 then
Private funds8 as of Mar 28, 2014
Mar 30, 20129 then
RAUM +13% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 9, 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
$434MderivedRAUM 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
-12%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A••••• A••••••••• I•• L•••no longer reportedHedge Fund$30.7M1Mar 30, 2012
      A••••• A••••••••• O••••••• F••• L•••no longer reportedHedge Fund$9.6M5Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• F••••• J••••• · Chief Information Officercontrol
        since 01/2014 · owns less than 5%
      • M••••• T•••• J• · Chief Compliance Officercontrol
        since 12/2005 · owns less than 5%
      • P•••• G•••••• J•• · Cfocontrol
        since 12/2005 · owns less than 5%
      • S•••••••• M••••••• C• · Chief Operations Officercontrol
        since 02/2008 · owns less than 5%
      • T••••••••• M••••••• A•••••• · Co-Chief Investment Officercontrol
        since 01/2014 · owns less than 5%
      • Z•••••••• R•••••• E••• · Presidentcontrol
        since 06/1976 · owns 75% or more
      • Z•••••••• R•••••• E••• · Co-Chief Investment Officercontrol
        since 01/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 15 to 14
        Aug 11, 2014 to Jan 9, 2015
      • Custody of client assets · true to false
        Aug 11, 2014 to Jan 9, 2015
      • Employees · 43 to 44
        Aug 11, 2014 to Jan 9, 2015
      • Private funds · 8 to unset
        Aug 11, 2014 to Jan 9, 2015
      • Discretionary RAUM · $3.0B to $3.9B
        Aug 11, 2014 to Jan 9, 2015
      • RAUM · $3.0B to $3.9B
        Aug 11, 2014 to Jan 9, 2015
      • Related bank · false to true
        Aug 11, 2014 to Jan 9, 2015
      • HQ city · CRESSKILL to ENGLEWOOD CLIFFS
        Mar 28, 2014 to Aug 11, 2014
      • Accounts · 10 to 9
        May 1, 2013 to Mar 28, 2014
      • Advisory employees · 16 to 15
        May 1, 2013 to Mar 28, 2014
      • Private funds · 9 to 8
        May 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $3.5B to $3.0B
        May 1, 2013 to Mar 28, 2014
      • RAUM · $3.5B to $3.0B
        May 1, 2013 to Mar 28, 2014
      • Accounts · 11 to 10
        Feb 26, 2013 to Mar 28, 2013
      • Employees · 44 to 43
        Feb 26, 2013 to Mar 28, 2013
      • Discretionary RAUM · $4.0B to $3.5B
        Feb 26, 2013 to Mar 28, 2013
      • RAUM · $4.0B to $3.5B
        Feb 26, 2013 to Mar 28, 2013
      • Advisory employees · unset to 16.0
        May 4, 2012 to Feb 26, 2013
      • BD registered reps · unset to 0.0
        May 4, 2012 to Feb 26, 2013
      • Employees · unset to 44.0
        May 4, 2012 to Feb 26, 2013
      • State-registered IARs · unset to 0.0
        May 4, 2012 to Feb 26, 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