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

U• A••••••• S•••••••• I•••

Former SEC-registered adviserEndwell, New YorkCRD 137217SEC 801-64727IAPD
Latest filing Mar 26, 2014
First filing on the tape Mar 26, 2012 · 3 filings
RAUM
$180M
reported, Item 5.F
Discretionary
22%
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$180M as of Mar 26, 2014
Mar 26, 2012$249M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 26, 2014
Mar 26, 20120 then
Employees (5.A)5 as of Mar 26, 2014
Apr 1, 20135 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 26, 2014; every figure names its basis
RAUM per advisor
$36.0MderivedRAUM 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
$781,895derivedRAUM over accounts (5.F.2.f)
Discretionary
22%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+20%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, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • 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)
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
230reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
      • S••••••••• B••••• R••••• · Directorcontrol
        since 01/2009 · owns less than 5%
      • S••••• J••• R•••••• M•••••• · Director, President, Secretary, Treasurer, Chief Compliance Officercontrol
        since 09/2005 · owns less than 5%
      • S••••••• T•••••• M•••••• · Vice Presidentcontrol
        since 04/2007 · owns less than 5%
      • L•••••• L•••• M•••••• · Vice President
        since 04/2008 · owns less than 5%
      Entity owners
      • N••••••• F•••••••• P••••••• C•••• · Shareholder
        direct · owns 75% or more
      • M•••••• D••••••• C•••••• P••••••• V•••• L••• · Owner
        indirect · owns 75% or more of P•••••• I••••••••• H•••••••• L••
      • M•••••• D••••••• P••••••• · General Partner
        indirect · owns F of M•••••• D••••••• P••••••• V•••••• L•••
      • M•••••• D••••••• P••••••• V•••••• L••• · General Partner
        indirect · owns F of M•••••• D••••••• C•••••• P••••••• V•••• L•••
      • P•••••• I••••••••• H••••••• A• C•••• · Owner
        indirect · owns 75% or more of P•••••• I••••••••• H••••••• B• C••••
      • P•••••• I••••••••• H••••••• B• C•••• · Owner
        indirect · owns 75% or more of N••••••• F•••••••• P••••••• C••••
      • P•••••• I••••••••• H•••••••• L•• · Owner
        indirect · owns 75% or more of P•••••• I••••••••• H••••••• A• C••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Norwich, NY
      What changed
      consecutive filings, newest first
      • Accounts · 177 to 230
        Apr 1, 2013 to Mar 26, 2014
      • Discretionary RAUM · $33.2M to $40.4M
        Apr 1, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $117M to $139M
        Apr 1, 2013 to Mar 26, 2014
      • RAUM · $150M to $180M
        Apr 1, 2013 to Mar 26, 2014
      • Accounts · 145 to 177
        Mar 26, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Mar 26, 2012 to Apr 1, 2013
      • BD registered reps · unset to 5.0
        Mar 26, 2012 to Apr 1, 2013
      • Business name · T•• B•• R•••• G•••• A••••••• S•••••••• I••• to U• A••••••• S•••••••• I•••
        Mar 26, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        Mar 26, 2012 to Apr 1, 2013
      • State-registered IARs · 0 to 5
        Mar 26, 2012 to Apr 1, 2013
      • Discretionary RAUM · $25.7M to $33.2M
        Mar 26, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $223M to $117M
        Mar 26, 2012 to Apr 1, 2013
      • RAUM · $249M to $150M
        Mar 26, 2012 to Apr 1, 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