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

O•••• C•••••• M••••••••• L•••••

Former SEC-registered adviserNew York, New YorkCRD 138604SEC 801-65878IAPD
Latest filing Mar 27, 2014
First filing on the tape Mar 26, 2012 · 5 filings
RAUM
$22.9M
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$22.9M as of Mar 27, 2014
Mar 26, 2012$33.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2014
Mar 26, 20120 then
Employees (5.A)6 as of Mar 27, 2014
Mar 25, 20136 then
Private funds: no history
RAUM -9.4% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2014; 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
$22.9MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-9.4%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
otherreportedItem 5.G
Custody
$22.9M, 1 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$22.9M for 1 clientsreported
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
      • R••• P••••• M•••••• · Cio & Ceocontrol
        since 09/2003 · owns 50% to 75%
      • D••••••••• J•••• D•••• · Chief Operating Officer/Chief Compliance Officer
        since 01/2008 · owns less than 5%
      Entity owners
      • S••••• G•••• L•• · Owner
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Assets in custody · $25.3M to $22.9M
        Mar 25, 2013 to Mar 27, 2014
      • Discretionary RAUM · $25.3M to $22.9M
        Mar 25, 2013 to Mar 27, 2014
      • RAUM · $25.3M to $22.9M
        Mar 25, 2013 to Mar 27, 2014
      • Accounts · 2 to 1
        Jun 7, 2012 to Mar 25, 2013
      • Advisory employees · unset to 4.0
        Jun 7, 2012 to Mar 25, 2013
      • BD registered reps · unset to 0.0
        Jun 7, 2012 to Mar 25, 2013
      • Assets in custody · $33.9M to $25.3M
        Jun 7, 2012 to Mar 25, 2013
      • Employees · unset to 6.0
        Jun 7, 2012 to Mar 25, 2013
      • Discretionary RAUM · $35.6M to $25.3M
        Jun 7, 2012 to Mar 25, 2013
      • RAUM · $35.6M to $25.3M
        Jun 7, 2012 to Mar 25, 2013
      • Discretionary RAUM · $33.9M to $35.6M
        Mar 26, 2012 to May 9, 2012
      • RAUM · $33.9M to $35.6M
        Mar 26, 2012 to May 9, 2012
      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