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

P• M••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 138819SEC 801-65380IAPD
Latest filing Nov 29, 2016
First filing on the tape Mar 23, 2012 · 7 filings
RAUM
$77.5M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$77.5M gross assets
History
7 filings and snapshots on the tape
RAUM$76.5M as of Apr 1, 2016
Mar 23, 2012$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2016
Mar 28, 20130 then
Employees (5.A)9 as of Apr 1, 2016
Mar 28, 20136 then
Private funds1 as of Apr 1, 2016
Mar 23, 20121 then
RAUM -34% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 29, 2016; 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
$77.5MderivedRAUM 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
-34%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
selection of other advisers, otherreportedItem 5.G
Custody
$77.5M, 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.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
n/areported
Wrap fee programs
noreported
Custody of client assets
$77.5M 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
      • N••••• M••••• S•••••• · Sole Ownercontrol
        since 02/2010 · owns 75% or more of A•••••• I••••••••• M••••••••• C••••••••• ••••••••
      • L••••••• S•••• D•••• · Chief Compliance Officer
        since 01/2016 · owns less than 5%
      Entity owners
      • A•••••• U••• C••••••••• · Sole Owner
        direct · owns 75% or more
      • A•••••• C••••••••• •••••••• · Sole Owner
        indirect · owns 75% or more of A•••••• US Corporation
      • A•••••• I••••••••• M••••••••• C••••••••• •••••••• · Sole Owner
        indirect · owns 75% or more of A•••••• C••••••••• ••••••••
      Related persons
      Schedule D 7.A
      Advisers that list P• M••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Apr 1, 2016 to Nov 28, 2016
      • Assets in custody · $76.5M to $77.5M
        Apr 1, 2016 to Nov 28, 2016
      • Employees · 9 to 1
        Apr 1, 2016 to Nov 28, 2016
      • Discretionary RAUM · $76.5M to $77.5M
        Apr 1, 2016 to Nov 28, 2016
      • RAUM · $76.5M to $77.5M
        Apr 1, 2016 to Nov 28, 2016
      • Assets in custody · $117M to $76.5M
        Mar 31, 2015 to Apr 1, 2016
      • Discretionary RAUM · $117M to $76.5M
        Mar 31, 2015 to Apr 1, 2016
      • RAUM · $117M to $76.5M
        Mar 31, 2015 to Apr 1, 2016
      • Assets in custody · $140M to $117M
        Mar 26, 2014 to Mar 31, 2015
      • Discretionary RAUM · $140M to $117M
        Mar 26, 2014 to Mar 31, 2015
      • RAUM · $140M to $117M
        Mar 26, 2014 to Mar 31, 2015
      • Related broker-dealer · false to true
        Mar 26, 2014 to Mar 31, 2015
      • Advisory employees · 1 to 2
        Mar 28, 2013 to Mar 26, 2014
      • Assets in custody · $146M to $140M
        Mar 28, 2013 to Mar 26, 2014
      • Employees · 6 to 9
        Mar 28, 2013 to Mar 26, 2014
      • Discretionary RAUM · $168M to $140M
        Mar 28, 2013 to Mar 26, 2014
      • RAUM · $168M to $140M
        Mar 28, 2013 to Mar 26, 2014
      • Related bank · true to false
        Mar 28, 2013 to Mar 26, 2014
      • Advisory employees · unset to 1.0
        Mar 23, 2012 to Mar 28, 2013
      • Employees · unset to 6.0
        Mar 23, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 23, 2012 to Mar 28, 2013
      • Discretionary RAUM · $146M to $168M
        Mar 23, 2012 to Mar 28, 2013
      • RAUM · $146M to $168M
        Mar 23, 2012 to Mar 28, 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