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
R••• N••••••••• C•••••• M••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 17 filings
SEC status approved since Jan 27, 2006
RAUM
$33.6M
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
24
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$33.6M as of Mar 31, 2026
Mar 30, 2012$510M then
HNW client RAUM$0 as of Mar 31, 2026
Apr 1, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)24 as of Mar 31, 2026
Apr 1, 201328 then
Private funds6 as of Mar 31, 2026
Mar 30, 201210 then
RAUM -30% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $5.6MderivedRAUM 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
- -30%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $48.0M, 7 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$33.6M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $48.0M for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
21 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- G•••••• R•••••• B•••• · General Counsel And Chief Compliance Officercontrolsince 08/2007 · owns less than 5%
- L••••••• Z••••• · Director Of Operationscontrolsince 03/2011 · owns less than 5%
- N••••••••• R•• · Presidentcontrolsince 05/1993 · owns 75% or more
- S•••• P••• · Head Tradercontrolsince 07/1993 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 10 to 12Apr 1, 2025 to Mar 31, 2026
- Employees · 23 to 24Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $48.0M to $33.6MApr 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $48.0M to $33.6MApr 1, 2025 to Mar 31, 2026
- RAUM · $48.0M to $33.6MApr 1, 2025 to Mar 31, 2026
- Accounts · 7 to 6May 22, 2024 to Apr 1, 2025
- Pooled vehicle clients · 7 to 6May 22, 2024 to Apr 1, 2025
- Assets in custody · $13.4M to $48.0MMay 22, 2024 to Apr 1, 2025
- Employees · 20 to 23May 22, 2024 to Apr 1, 2025
- Financial planning clients · 0 to 0May 22, 2024 to Apr 1, 2025
- Private funds · 7 to 6May 22, 2024 to Apr 1, 2025
- Discretionary RAUM · $36.5M to $48.0MMay 22, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $36.5M to $48.0MMay 22, 2024 to Apr 1, 2025
- RAUM · $36.5M to $48.0MMay 22, 2024 to Apr 1, 2025
- Accounts · 4 to 7Mar 31, 2023 to May 22, 2024
- Assets in custody · $7.6M to $13.4MMar 31, 2023 to May 22, 2024
- Private funds · 4 to 7Mar 31, 2023 to May 22, 2024
- Discretionary RAUM · $64.2M to $36.5MMar 31, 2023 to May 22, 2024
- Pooled vehicle RAUM · $64.2M to $36.5MMar 31, 2023 to May 22, 2024
- RAUM · $64.2M to $36.5MMar 31, 2023 to May 22, 2024
- Assets in custody · $51.1M to $7.6MMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $52.5M to $64.2MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $52.5M to $64.2MMar 31, 2022 to Mar 31, 2023
- RAUM · $52.5M to $64.2MMar 31, 2022 to Mar 31, 2023
- Advisory activities · 3 to 4Apr 1, 2021 to Mar 31, 2022
- Corporate clients · 3.0 to unsetApr 1, 2021 to Mar 31, 2022
- Pension plan clients · 1 to 0Apr 1, 2021 to Mar 31, 2022
- Pooled vehicle clients · 4 to 7Apr 1, 2021 to Mar 31, 2022
- HQ city · NEW YORK to SUNNY ISLES BEACHApr 1, 2021 to Mar 31, 2022
- HQ state · NY to FLApr 1, 2021 to Mar 31, 2022
- Discretionary RAUM · $51.1M to $52.5MApr 1, 2021 to Mar 31, 2022
- Pension RAUM · unset to 0.0Apr 1, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $51.1M to $52.5MApr 1, 2021 to Mar 31, 2022
- RAUM · $51.1M to $52.5MApr 1, 2021 to Mar 31, 2022
- Accounts · 5 to 4Jan 19, 2021 to Apr 1, 2021
- Pooled vehicle clients · 5 to 4Jan 19, 2021 to Apr 1, 2021
- Assets in custody · $36.7M to $51.1MJan 19, 2021 to Apr 1, 2021
- Private funds · 6 to 4Jan 19, 2021 to Apr 1, 2021
- Discretionary RAUM · $36.7M to $51.1MJan 19, 2021 to Apr 1, 2021
- Pooled vehicle RAUM · $36.7M to $51.1MJan 19, 2021 to Apr 1, 2021
Signals
1 dated events
- R••• N••••••••• C•••••• M••••••••• I••• reported RAUM $36.7M, down 91% from $422.6M (2019-03-31 to 2021-01-19)Jan 19, 2021 · RAUM change · derived
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
- Website
- N•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-245-0400reportedpublic record, Form ADV, Mar 31, 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