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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SEC-registered adviser
C••••••••• G•••• A••••••• S••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 47 filings
SEC status approved since Nov 29, 2005
RAUM
$9.8B
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
17
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$9.8B as of Mar 24, 2026
Mar 30, 2012$6.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Mar 24, 2026
Mar 30, 20120 then
Employees (5.A)17 as of Mar 24, 2026
Apr 1, 20134 then
Private funds: no history
RAUM +26% over the last fiscal year+17% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- RAUM per advisor
- $1.1BderivedRAUM 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
- $818MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, selection of other advisers, 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
- 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
- Investment companies$9.8B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=9.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• P•••• E••••••• · Director, Chief Executive Officer And Presidentcontrolsince 03/2017 · owns less than 5%
- R••••••• G•••• R••• · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- S••••••••• C••••••••• M•••••• · Directorcontrolsince 09/2022 · owns less than 5%
Entity owners
- M••••• S•••••• D••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- M••••• S•••••• · Memberindirect · owns 75% or more of M••••• S•••••• C•••••• M••••••••• L•• · public reporting company
- M••••• S•••••• C•••••• M••••••••• L•• · Memberindirect · owns 75% or more of M••••• S•••••• D••••••• H•••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- New York, NY6 employees
What changed
consecutive filings, newest first
- Accounts · 11 to 12Jun 30, 2025 to Mar 24, 2026
- Advisory employees · 8 to 9Jun 30, 2025 to Mar 24, 2026
- BD registered reps · 8 to 9Jun 30, 2025 to Mar 24, 2026
- Employees · 16 to 17Jun 30, 2025 to Mar 24, 2026
- Insurance-licensed employees · 8 to 9Jun 30, 2025 to Mar 24, 2026
- State-registered IARs · 8 to 9Jun 30, 2025 to Mar 24, 2026
- Discretionary RAUM · $7.8B to $9.8BJun 30, 2025 to Mar 24, 2026
- RAUM · $7.8B to $9.8BJun 30, 2025 to Mar 24, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jun 30, 2025
- Advisory employees · 9 to 8Oct 29, 2024 to Mar 28, 2025
- BD registered reps · 9 to 8Oct 29, 2024 to Mar 28, 2025
- Employees · 20 to 16Oct 29, 2024 to Mar 28, 2025
- Insurance-licensed employees · 9 to 8Oct 29, 2024 to Mar 28, 2025
- State-registered IARs · 9 to 8Oct 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $7.1B to $7.8BOct 29, 2024 to Mar 28, 2025
- RAUM · $7.1B to $7.8BOct 29, 2024 to Mar 28, 2025
- Advisory employees · 8 to 9Aug 15, 2023 to Mar 27, 2024
- BD registered reps · 8 to 9Aug 15, 2023 to Mar 27, 2024
- Insurance-licensed employees · 8 to 9Aug 15, 2023 to Mar 27, 2024
- State-registered IARs · 8 to 9Aug 15, 2023 to Mar 27, 2024
- Discretionary RAUM · $6.1B to $7.1BAug 15, 2023 to Mar 27, 2024
- RAUM · $6.1B to $7.1BAug 15, 2023 to Mar 27, 2024
- Advisory employees · 7 to 8Oct 5, 2022 to Mar 29, 2023
- BD registered reps · 10 to 8Oct 5, 2022 to Mar 29, 2023
- Employees · 10 to 20Oct 5, 2022 to Mar 29, 2023
- Insurance-licensed employees · 7 to 8Oct 5, 2022 to Mar 29, 2023
- State-registered IARs · 7 to 8Oct 5, 2022 to Mar 29, 2023
- Discretionary RAUM · $6.9B to $6.1BOct 5, 2022 to Mar 29, 2023
- RAUM · $6.9B to $6.1BOct 5, 2022 to Mar 29, 2023
- Financial planning clients · 0 to unsetMar 22, 2021 to Mar 25, 2022
- Financial planning clients · unset to 0Mar 9, 2021 to Mar 22, 2021
- Discretionary RAUM · $6.3B to $6.9BMar 9, 2021 to Mar 22, 2021
- RAUM · $6.3B to $6.9BMar 9, 2021 to Mar 22, 2021
- BD registered reps · 9 to 10Jan 2, 2020 to Mar 27, 2020
- Employees · 9 to 10Jan 2, 2020 to Mar 27, 2020
- Discretionary RAUM · $5.6B to $6.3BJan 2, 2020 to Mar 27, 2020
- RAUM · $5.6B to $6.3BJan 2, 2020 to Mar 27, 2020
- Other offices · 2 to 1Mar 29, 2019 to Jan 2, 2020
- Accounts · 10 to 11Feb 13, 2019 to Mar 29, 2019
- Financial planning clients · 0 to unsetFeb 13, 2019 to Mar 29, 2019
Signals
8 dated events
- C••••••••• G•••• A••••••• S••••••• L•• reported RAUM $9.8B, up 26% from $7.8B (2025-06-30 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- R Christopher Gargano (Chief Compliance Officer) no longer on Schedule A of C••••••••• G•••• A••••••• S••••••• L•• (listed 2024-04-19, absent 2024-10-21)Oct 21, 2024 · Control person left · inference
- R Gary Roberts (Chief Compliance Officer) appeared on Schedule A of C••••••••• G•••• A••••••• S••••••• L••Oct 21, 2024 · Control person joined · fact
- M Christopher Scott-Hansen (Director) appeared on Schedule A of C••••••••• G•••• A••••••• S••••••• L••Oct 5, 2022 · Control person joined · fact
- Vincent Richard Slater (Director) no longer on Schedule A of C••••••••• G•••• A••••••• S••••••• L•• (listed 2022-08-23, absent 2022-10-05)Oct 5, 2022 · Control person left · inference
- Allen Friedman (Chief Financial Officer) no longer on Schedule A of C••••••••• G•••• A••••••• S••••••• L•• (listed 2019-03-29, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- Marc Gordon (Director) no longer on Schedule A of C••••••••• G•••• A••••••• S••••••• L•• (listed 2019-03-29, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- Vincent Richard Slater (Director) appeared on Schedule A of C••••••••• G•••• A••••••• S••••••• L••Jan 2, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 914-225-1000reportedpublic record, Form ADV, Mar 24, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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