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
C•••••• F••••••••• L••
Latest filing Feb 2, 2024
First filing on the tape May 23, 2012 · 19 filings
SEC status approved since Jun 20, 2012
RAUM
$109M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$109M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$109M as of Feb 2, 2024
Mar 18, 2013$46.5M then
HNW client RAUM$75.3M as of Feb 2, 2024
Mar 21, 2018$53.5M then
State-registered IARs (5.B.3)2 as of Feb 2, 2024
Mar 18, 20130 then
Employees (5.A)2 as of Feb 2, 2024
Mar 18, 20133 then
Private funds: no history
RAUM +23% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 2, 2024; every figure names its basis
- RAUM per advisor
- $54.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $409,929derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- High-net-worth individuals$75.3M69%
- Individuals$34.1M31%
- Corporations and businesses$14,9710.0%
- Individual clients
- 25reported
- HNW clients
- 14reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 267reported
- Financial planning clients
- 26-50reported
- 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
- L•••• S•••••• H••••• to W••••••••• A••••••• P••••••• L••Mar 31, 2025 · RIA to RIA
- S•••• G••••••• M•••••••• to W••••••••• A••••••• P••••••• L••Mar 31, 2025 · RIA to RIA
Joined, latest
- L•••• S•••••• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 27, 2021 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••••••• A••••••• P••••••• L••Mar 31, 2025 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• L••••• S•••••• · Managing Member And Chief Compliance Officercontrolsince 06/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brooklyn, Ny | 0 | 0 | 0 | ||
| New York, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 274 to 267Jun 20, 2023 to Feb 2, 2024
- HNW clients · 10 to 14Jun 20, 2023 to Feb 2, 2024
- Individual clients · 36 to 25Jun 20, 2023 to Feb 2, 2024
- Discretionary RAUM · $87.1M to $109MJun 20, 2023 to Feb 2, 2024
- HNW RAUM · $51.5M to $75.3MJun 20, 2023 to Feb 2, 2024
- Individual RAUM · $36.3M to $34.1MJun 20, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $1.8M to $901,601Jun 20, 2023 to Feb 2, 2024
- RAUM · $88.9M to $109MJun 20, 2023 to Feb 2, 2024
- Accounts · 299 to 274Mar 16, 2022 to Mar 1, 2023
- HNW clients · 12 to 10Mar 16, 2022 to Mar 1, 2023
- Individual clients · 30 to 36Mar 16, 2022 to Mar 1, 2023
- Discretionary RAUM · $94.1M to $87.1MMar 16, 2022 to Mar 1, 2023
- HNW RAUM · $64.8M to $51.5MMar 16, 2022 to Mar 1, 2023
- Individual RAUM · $29.9M to $36.3MMar 16, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $1.8M to $1.8MMar 16, 2022 to Mar 1, 2023
- RAUM · $95.8M to $88.9MMar 16, 2022 to Mar 1, 2023
- Accounts · 239 to 299Feb 18, 2021 to Mar 16, 2022
- HNW clients · 22 to 12Feb 18, 2021 to Mar 16, 2022
- Individual clients · 15 to 30Feb 18, 2021 to Mar 16, 2022
- State-registered IARs · 0 to 2Feb 18, 2021 to Mar 16, 2022
- Discretionary RAUM · $78.7M to $94.1MFeb 18, 2021 to Mar 16, 2022
- HNW RAUM · $65.3M to $64.8MFeb 18, 2021 to Mar 16, 2022
- Individual RAUM · $13.1M to $29.9MFeb 18, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $0 to $1.8MFeb 18, 2021 to Mar 16, 2022
- RAUM · $78.7M to $95.8MFeb 18, 2021 to Mar 16, 2022
- Accounts · 264 to 239Jun 29, 2020 to Feb 18, 2021
- Advisory activities · 4 to 3Jun 29, 2020 to Feb 18, 2021
- HNW clients · 23 to 22Jun 29, 2020 to Feb 18, 2021
- Individual clients · 7 to 15Jun 29, 2020 to Feb 18, 2021
- Other offices · 1 to 2Jun 29, 2020 to Feb 18, 2021
- Discretionary RAUM · $59.5M to $78.7MJun 29, 2020 to Feb 18, 2021
- HNW RAUM · $54.6M to $65.3MJun 29, 2020 to Feb 18, 2021
- Individual RAUM · $4.9M to $13.1MJun 29, 2020 to Feb 18, 2021
- RAUM · $59.5M to $78.7MJun 29, 2020 to Feb 18, 2021
- Accounts · 245 to 264Mar 20, 2019 to Mar 17, 2020
- HNW clients · 18 to 23Mar 20, 2019 to Mar 17, 2020
- Individual clients · 15 to 7Mar 20, 2019 to Mar 17, 2020
- Other offices · 2 to 1Mar 20, 2019 to Mar 17, 2020
- Discretionary RAUM · $57.3M to $59.5MMar 20, 2019 to Mar 17, 2020
- HNW RAUM · $46.6M to $54.6MMar 20, 2019 to Mar 17, 2020
Signals
4 dated events
- C•••••• F••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $109.5M)May 2, 2025 · Left the SEC roster · derived
- L•••• S•••••• H••••• left C•••••• F••••••••• L•• for W••••••••• A••••••• P••••••• L•• (registered 2024-12-18)Mar 31, 2025 · Advisor changed firm · fact
- S•••• G••••••• M•••••••• left C•••••• F••••••••• L•• for W••••••••• A••••••• P••••••• L•• (registered 2024-12-19)Mar 31, 2025 · Advisor changed firm · fact
- 2 advisors left C•••••• F••••••••• L•• (New York, NY) for W••••••••• A••••••• P••••••• L•• on the same dayMar 31, 2025 · Team lift-out · derived
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