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

A••• C•••••• M••••••••• ••••••• L••

Former SEC-registered adviserNicosia, CRD 139115SEC 801-66099IAPD
Latest filing Jan 31, 2014
First filing on the tape Apr 18, 2012 · 4 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$235M as of Feb 6, 2013
Apr 18, 2012$220M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jan 31, 2014
Feb 6, 20136 then
Employees (5.A)3 as of Jan 31, 2014
Feb 6, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 6 to 3
Practice profile
derived from the filing of Jan 31, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
n/areported
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
      • P•••••• T••••••••• · Director
        since 05/2004 · owns less than 5%
      • R•••••• A•••••• · Director
        since 03/2000 · owns less than 5%
      • R•••••• K••••••• · Chief Compliance Officer
        since 07/2004 · owns 75% or more
      • S••••••••• S•••••••• · Director
        since 01/2003 · 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
      • Accounts · 100.0 to unset
        Nov 19, 2013 to Jan 31, 2014
      • Advisory employees · 4 to 3
        Nov 19, 2013 to Jan 31, 2014
      • BD registered reps · 4 to 3
        Nov 19, 2013 to Jan 31, 2014
      • Employees · 5 to 3
        Nov 19, 2013 to Jan 31, 2014
      • Insurance-licensed employees · 3 to 1
        Nov 19, 2013 to Jan 31, 2014
      • State-registered IARs · 4 to 3
        Nov 19, 2013 to Jan 31, 2014
      • Discretionary RAUM · 234500000.0 to unset
        Nov 19, 2013 to Jan 31, 2014
      • Non-discretionary RAUM · 0.0 to unset
        Nov 19, 2013 to Jan 31, 2014
      • RAUM · 234500000.0 to unset
        Nov 19, 2013 to Jan 31, 2014
      • Advisory employees · 6 to 4
        Feb 6, 2013 to Nov 19, 2013
      • BD registered reps · 6 to 4
        Feb 6, 2013 to Nov 19, 2013
      • Employees · 6 to 5
        Feb 6, 2013 to Nov 19, 2013
      • Insurance-licensed employees · 6 to 3
        Feb 6, 2013 to Nov 19, 2013
      • State-registered IARs · 6 to 4
        Feb 6, 2013 to Nov 19, 2013
      • Accounts · 3 to 100
        Apr 18, 2012 to Feb 6, 2013
      • Advisory employees · unset to 6.0
        Apr 18, 2012 to Feb 6, 2013
      • BD registered reps · unset to 6.0
        Apr 18, 2012 to Feb 6, 2013
      • Employees · unset to 6.0
        Apr 18, 2012 to Feb 6, 2013
      • State-registered IARs · unset to 6.0
        Apr 18, 2012 to Feb 6, 2013
      • Discretionary RAUM · $220M to $235M
        Apr 18, 2012 to Feb 6, 2013
      • RAUM · $220M to $235M
        Apr 18, 2012 to Feb 6, 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