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••••••• C•••••• A•••••••• L••

Former SEC-registered adviserWhite Plains, New YorkCRD 139114SEC 801-65828IAPD
Latest filing Mar 29, 2019
First filing on the tape Dec 13, 2011 · 11 filings
RAUM
$26.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$26.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$26.6M as of Mar 29, 2019
Feb 16, 2012$27.2M then
HNW client RAUM$21.7M as of Mar 29, 2019
Mar 29, 2018$20.1M then
State-registered IARs (5.B.3)1 as of Mar 29, 2019
Feb 16, 20120 then
Employees (5.A)2 as of Mar 29, 2019
Mar 21, 20133 then
Private funds: no history
RAUM +5.4% over the last fiscal year-4.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$26.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$467,464derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$21.7M81%
  • Individuals$5.0M19%
Individual clients
23reported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
57reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $4.9M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • G••••••••• D••••••• C•••••• W•••••• · Managing Member And Chief Compliance Officercontrol
      since 12/2005 · owns 75% or more
    • P•••••• V•••••• V••••••• · President/Chief Investment Officercontrol
      since 12/2005 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • BD registered reps · 2 to 1
      Jan 15, 2019 to Mar 29, 2019
    • HNW clients · 8 to 9
      Jan 15, 2019 to Mar 29, 2019
    • Individual clients · 22 to 23
      Jan 15, 2019 to Mar 29, 2019
    • Employees · 3 to 2
      Jan 15, 2019 to Mar 29, 2019
    • Discretionary RAUM · $25.3M to $26.6M
      Jan 15, 2019 to Mar 29, 2019
    • HNW RAUM · $20.1M to $21.7M
      Jan 15, 2019 to Mar 29, 2019
    • Individual RAUM · $5.2M to $5.0M
      Jan 15, 2019 to Mar 29, 2019
    • RAUM · $25.3M to $26.6M
      Jan 15, 2019 to Mar 29, 2019
    • Wrap assets (manager) · $6.1M to $4.9M
      Jan 15, 2019 to Mar 29, 2019
    • Accounts · 59 to 57
      Mar 17, 2017 to Mar 29, 2018
    • Advisory employees · 2 to 1
      Mar 17, 2017 to Mar 29, 2018
    • HNW clients · unset to 8.0
      Mar 17, 2017 to Mar 29, 2018
    • Individual clients · unset to 22.0
      Mar 17, 2017 to Mar 29, 2018
    • State-registered IARs · 2 to 1
      Mar 17, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Mar 17, 2017 to Mar 29, 2018
    • Discretionary RAUM · $24.6M to $25.3M
      Mar 17, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 20070297.0
      Mar 17, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 5206458.0
      Mar 17, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $5.1M to $0
      Mar 17, 2017 to Mar 29, 2018
    • RAUM · $29.7M to $25.3M
      Mar 17, 2017 to Mar 29, 2018
    • Wrap assets (manager) · unset to 6112669.0
      Mar 17, 2017 to Mar 29, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Mar 17, 2017 to Mar 29, 2018
    • Accounts · 79 to 59
      Mar 23, 2016 to Mar 17, 2017
    • Discretionary RAUM · $24.0M to $24.6M
      Mar 23, 2016 to Mar 17, 2017
    • Non-discretionary RAUM · $6.6M to $5.1M
      Mar 23, 2016 to Mar 17, 2017
    • RAUM · $30.7M to $29.7M
      Mar 23, 2016 to Mar 17, 2017
    • Accounts · 84 to 79
      Mar 18, 2015 to Mar 23, 2016
    • Discretionary RAUM · $27.4M to $24.0M
      Mar 18, 2015 to Mar 23, 2016
    • Non-discretionary RAUM · $5.4M to $6.6M
      Mar 18, 2015 to Mar 23, 2016
    • RAUM · $32.8M to $30.7M
      Mar 18, 2015 to Mar 23, 2016
    • Accounts · 80 to 84
      Mar 27, 2014 to Mar 18, 2015
    • Discretionary RAUM · $26.6M to $27.4M
      Mar 27, 2014 to Mar 18, 2015
    • Non-discretionary RAUM · $5.5M to $5.4M
      Mar 27, 2014 to Mar 18, 2015
    • RAUM · $32.1M to $32.8M
      Mar 27, 2014 to Mar 18, 2015
    • Accounts · 94 to 80
      Mar 21, 2013 to Mar 27, 2014
    • Discretionary RAUM · $23.4M to $26.6M
      Mar 21, 2013 to Mar 27, 2014
    • Non-discretionary RAUM · $5.7M to $5.5M
      Mar 21, 2013 to Mar 27, 2014
    • RAUM · $29.1M to $32.1M
      Mar 21, 2013 to Mar 27, 2014
    • Accounts · 102 to 94
      Feb 16, 2012 to Mar 21, 2013
    • Advisory employees · unset to 2.0
      Feb 16, 2012 to Mar 21, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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
    Across the graphs

    P••••••• C•••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.

    Real Estate Funds1

    Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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