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

S•••• M•••••• I••••••••

Former SEC-registered adviserMoscow, CRD 138190SEC 801-66878websiteIAPD
Latest filing Mar 31, 2022
First filing on the tape Jan 26, 2012 · 18 filings
SEC status approved since Jun 16, 2006
RAUM
$4.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$4.0M as of Mar 31, 2022
Apr 1, 2013$10.0M then
HNW client RAUM$6.0M as of Apr 22, 2021
Mar 28, 2018$9.0M then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Jan 26, 20120 then
Employees (5.A)3 as of Mar 31, 2022
Apr 1, 20134 then
Private funds: no history
RAUM -64% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
$266,667derivedRAUM 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
-64%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 individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$4.0M100%
Individual clients
15reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
15reported
Financial planning clients
0reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• K••••••••• · Chief Investment Officer And Chief Operating Officercontrol
        since 07/2017 · owns less than 5%
      • L••••• O••• · Chief Information Security Officercontrol
        since 07/2017 · owns less than 5%
      • P••••••••• E••••••••• S• · Owner, President And Chief Compliance Officercontrol
        since 07/2017 · owns 50% to 75%
      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
      • HNW clients · 1.0 to unset
        Apr 22, 2021 to Mar 31, 2022
      • Individual clients · 14 to 15
        Apr 22, 2021 to Mar 31, 2022
      • Discretionary RAUM · $11.0M to $4.0M
        Apr 22, 2021 to Mar 31, 2022
      • HNW RAUM · 6000000.0 to unset
        Apr 22, 2021 to Mar 31, 2022
      • Individual RAUM · $5.0M to $4.0M
        Apr 22, 2021 to Mar 31, 2022
      • RAUM · $11.0M to $4.0M
        Apr 22, 2021 to Mar 31, 2022
      • Advisory employees · 3 to 2
        Mar 30, 2020 to Apr 22, 2021
      • Employees · 4 to 3
        Mar 30, 2020 to Apr 22, 2021
      • Discretionary RAUM · $7.0M to $11.0M
        Mar 30, 2020 to Apr 22, 2021
      • HNW RAUM · $4.0M to $6.0M
        Mar 30, 2020 to Apr 22, 2021
      • Individual RAUM · $3.0M to $5.0M
        Mar 30, 2020 to Apr 22, 2021
      • RAUM · $7.0M to $11.0M
        Mar 30, 2020 to Apr 22, 2021
      • Accounts · 39 to 15
        Mar 28, 2019 to Mar 30, 2020
      • Individual clients · 38 to 14
        Mar 28, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $11.0M to $7.0M
        Mar 28, 2019 to Mar 30, 2020
      • HNW RAUM · $6.0M to $4.0M
        Mar 28, 2019 to Mar 30, 2020
      • Individual RAUM · $5.0M to $3.0M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $11.0M to $7.0M
        Mar 28, 2019 to Mar 30, 2020
      • Accounts · 54 to 39
        Mar 25, 2019 to Mar 28, 2019
      • Advisory employees · 4 to 3
        Mar 25, 2019 to Mar 28, 2019
      • Advisory activities · 2 to 1
        Mar 25, 2019 to Mar 28, 2019
      • Individual clients · 51 to 38
        Mar 25, 2019 to Mar 28, 2019
      • Employees · 5 to 4
        Mar 25, 2019 to Mar 28, 2019
      • Discretionary RAUM · $16.5M to $11.0M
        Mar 25, 2019 to Mar 28, 2019
      • HNW RAUM · $9.0M to $6.0M
        Mar 25, 2019 to Mar 28, 2019
      • Individual RAUM · $7.0M to $5.0M
        Mar 25, 2019 to Mar 28, 2019
      • RAUM · $16.5M to $11.0M
        Mar 25, 2019 to Mar 28, 2019
      • Accounts · 60 to 54
        Sep 29, 2017 to Mar 28, 2018
      • HNW clients · unset to 1.0
        Sep 29, 2017 to Mar 28, 2018
      • Individual clients · unset to 51.0
        Sep 29, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Sep 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $18.0M to $16.5M
        Sep 29, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 9000000.0
        Sep 29, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 7000000.0
        Sep 29, 2017 to Mar 28, 2018
      • RAUM · $18.0M to $16.5M
        Sep 29, 2017 to Mar 28, 2018
      • Discretionary RAUM · $16.0M to $18.0M
        Jul 21, 2017 to Sep 29, 2017
      • RAUM · $16.0M to $18.0M
        Jul 21, 2017 to Sep 29, 2017
      • Accounts · 55 to 60
        Mar 23, 2016 to Mar 29, 2017
      • Discretionary RAUM · $12.0M to $16.0M
        Mar 23, 2016 to Mar 29, 2017
      Signals
      1 dated events
      • S•••• M•••••• I•••••••• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $4.0M)
        Jun 2, 2025 · Left the SEC roster · derived
      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