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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
R••••••• C••••• A••••••• S•••••••
Legal name R••••••• C••••• A••••••• S•••••••• I••
Latest filing Jan 11, 2016
First filing on the tape Nov 18, 2011 · 17 filings
RAUM
$103M
reported, Item 5.F
Discretionary
93%
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
22
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$103M as of Jun 26, 2014
Jun 25, 2012$85.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jun 26, 2014
Jun 25, 20120 then
Employees (5.A)22 as of Jun 26, 2014
Jul 15, 201336 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 36 to 3
Practice profile
derived from the filing of Jan 11, 2016; every figure names its basis
- RAUM per advisor
- $34.4MderivedRAUM 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
- $115,677derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.3derivedItem 5.A over advisors
- Advisors per office
- 0.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -92%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
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
- 893reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D••••• J••••• R••••• to B• R•••• W••••• A•••••••• I•••Jul 27, 2016 · Other
- C•••• G••••••• to H••••• • S••••• A••••••• S••••••• L••Apr 14, 2016 · Other
- P•••• C•••••• W••• to H••••• • S••••• A••••••• S••••••• L••Dec 31, 2015 · Other
- J••••••• E• W•••• to M••••••• I••••••••• N•••••• I•••Dec 31, 2015 · Other
- D•••• A•••• W••••• to A••••• I••••••••• M••••••••• L••Dec 31, 2015 · Other
- L•••• N••••••• M••••••••• to S••••••••• A•••••• A•••••••• I•••Dec 18, 2015 · Other
- K••••••• E•••••••• O•••••••• L••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 8, 2015 · Other
- T•••••• J••• M•••••••• to S••Nov 13, 2015 · Other
- D••• J•••• M••••• to V•• A••••••• S•••••••Sep 4, 2015 · Other
- L••••••• E•••• Z•••••• to 4•••••• A••••••• S•••••••• I•••Jul 13, 2015 · Other
- A••••• L•••• G•••• to A•••••• R••••••• C•••••••••May 26, 2015 · Other
- D••• R•••• C•••• to M•••• C••••••• A••••••• S••••••May 26, 2015 · Other
- B•••• L•• B•••••••• to I••••••• F•••••••• S•••••••Dec 31, 2014 · Other
- C••••• A••••• S••••••••• to I•• A•••••••• I•••Aug 7, 2014 · Other
- A•••••• T••••••• R••••••• to S••••••• F•••••••• G••••Jun 24, 2014 · Other
Joined, latest
- T•••••• J••• M•••••••• from R•••• I••••••••• A••••••• L••Oct 19, 2015 · Other
- J••••••• E• W•••• from J• P• T••••• • C•••••• C•••••• M••••••••• L••Sep 25, 2015 · Other
- B•••• L•• B•••••••• from S• A•••••••• L••May 26, 2014 · Other
- L•••• N••••••• M••••••••• from W•••• A••••••• S•••••••Jun 26, 2012 · Other
- K••••••• E•••••••• O•••••••• L••••• from E••••• J••••Jun 25, 2012 · Other
- G••••• T••••• W••••• from E••••• J••••Jan 11, 2012 · Other
- D•••• A•••• W••••• from I• A••••••• S•••••••• I•••Jan 3, 2012 · Other
- Q••••• D••••• C••••••• from V•••••••• F••••••••• L••Dec 19, 2011 · Other
- R•••••• F••••••• D••• from A••••••••• F•••••••• S•••••••• L••Mar 9, 2011 · Other
- A••••• L•••• G•••• from R•• C•••••• M••••••• L••Feb 18, 2011 · Other
- D••• R•••• C•••• from D••••••••• I••••••••• A•••••••• L••Oct 12, 2010 · Other
- L••••••• E•••• Z•••••• from Q•••••• A•••• M••••••••• I•••Sep 8, 2010 · Other
- C•••••• T••• P••••• from L•• F•••••••• L••Jun 7, 2010 · Other
- D••••• J••••• R••••• from W••••••• F•••••••• S•••••••• I•••Dec 23, 2009 · Other
- S•••••• Z••••• from P••• A••••• S••••••••• L••Dec 16, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• L••••• M••••• · Sole Shareholdercontrolsince 02/2006 · owns 75% or more
- G•••••• R••••••• A••• · Presidentcontrolsince 01/2006 · owns less than 5%
- G•••••• L••••• M••••• · Presidentcontrolsince 03/2002 · owns 75% or more of R••••••• • C•••••• I•••
Related persons
Schedule D 7.A
- A••••••••• T•••••• G•••• L••broker-dealern
- R••••••• • C•••••• I•••broker-dealery
Offices
Schedule D 1.F, the 25 largest
- Bellingham, WA
- East Syracuse, NY
- Reynoldsburg, OH
- Syracuse, NY
- York, PA
What changed
consecutive filings, newest first
- Accounts · 811 to 893Jul 15, 2013 to Jun 26, 2014
- Advisory employees · 35 to 12Jul 15, 2013 to Jun 26, 2014
- BD registered reps · 30 to 4Jul 15, 2013 to Jun 26, 2014
- Employees · 36 to 22Jul 15, 2013 to Jun 26, 2014
- State-registered IARs · 36 to 3Jul 15, 2013 to Jun 26, 2014
- Discretionary RAUM · $73.5M to $96.1MJul 15, 2013 to Jun 26, 2014
- Non-discretionary RAUM · $8.4M to $7.2MJul 15, 2013 to Jun 26, 2014
- RAUM · $81.9M to $103MJul 15, 2013 to Jun 26, 2014
- Accounts · 845 to 811Dec 10, 2012 to Jul 15, 2013
- Advisory employees · 33 to 35Dec 10, 2012 to Jul 15, 2013
- Employees · 34 to 36Dec 10, 2012 to Jul 15, 2013
- State-registered IARs · 34 to 36Dec 10, 2012 to Jul 15, 2013
- Discretionary RAUM · $75.0M to $73.5MDec 10, 2012 to Jul 15, 2013
- Non-discretionary RAUM · $10.3M to $8.4MDec 10, 2012 to Jul 15, 2013
- RAUM · $85.3M to $81.9MDec 10, 2012 to Jul 15, 2013
- Advisory employees · unset to 33.0Sep 27, 2012 to Dec 10, 2012
- BD registered reps · unset to 30.0Sep 27, 2012 to Dec 10, 2012
- Employees · unset to 34.0Sep 27, 2012 to Dec 10, 2012
- State-registered IARs · 0 to 34Sep 27, 2012 to Dec 10, 2012
- Accounts · 670 to 845Mar 19, 2012 to Jun 25, 2012
- Discretionary RAUM · $61.0M to $75.0MMar 19, 2012 to Jun 25, 2012
- Non-discretionary RAUM · $9.7M to $10.3MMar 19, 2012 to Jun 25, 2012
- RAUM · $70.8M to $85.3MMar 19, 2012 to Jun 25, 2012
- Accounts · 488 to 670Nov 18, 2011 to Jan 9, 2012
- Insurance-licensed employees · unset to 0.0Nov 18, 2011 to Jan 9, 2012
- Financial planning clients · 1-10 to 11-25Nov 18, 2011 to Jan 9, 2012
- Discretionary RAUM · $70.6M to $61.0MNov 18, 2011 to Jan 9, 2012
- Non-discretionary RAUM · $8.3M to $9.7MNov 18, 2011 to Jan 9, 2012
- RAUM · $78.9M to $70.8MNov 18, 2011 to Jan 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