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

D••••• A•••••••• L••

Former SEC-registered adviserLatham, New YorkCRD 141515SEC 801-67248IAPD
Latest filing May 9, 2022
First filing on the tape Mar 21, 2012 · 15 filings
RAUM
$618M
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$618M as of Feb 28, 2022
Mar 21, 2012$199M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 28, 2022
Mar 28, 20130 then
Employees (5.A)6 as of Feb 28, 2022
Mar 28, 20132 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 9, 2022; 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
$10.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
+14%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, fixed fees, otherreportedItem 5.E
Advisory activities
pension consultingreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$618M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
60reported
Charitable clients
n/areported
Accounts
60reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• J••••••• S•••• · Chief Compliance Officer / Managercontrol
      since 08/2006 · owns 50% to 75%
    • S••••••••• T•••••• M•••••• · Managercontrol
      since 11/2008 · owns 50% to 75%
    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
    • Advisory employees · 3 to 2
      Jun 29, 2021 to Feb 28, 2022
    • Financial planning clients · unset to 0
      Jun 29, 2021 to Feb 28, 2022
    • Discretionary RAUM · $543M to $618M
      Jun 29, 2021 to Feb 28, 2022
    • Pension RAUM · $543M to $618M
      Jun 29, 2021 to Feb 28, 2022
    • RAUM · $543M to $618M
      Jun 29, 2021 to Feb 28, 2022
    • HQ city · ALBANY to LATHAM
      Jan 27, 2021 to Jun 29, 2021
    • Accounts · 68 to 60
      May 11, 2020 to Jan 27, 2021
    • Advisory employees · 4 to 3
      May 11, 2020 to Jan 27, 2021
    • Pension plan clients · 68 to 60
      May 11, 2020 to Jan 27, 2021
    • Discretionary RAUM · $492M to $543M
      May 11, 2020 to Jan 27, 2021
    • Pension RAUM · $492M to $543M
      May 11, 2020 to Jan 27, 2021
    • RAUM · $492M to $543M
      May 11, 2020 to Jan 27, 2021
    • Accounts · 72 to 68
      Mar 12, 2019 to May 11, 2020
    • Pension plan clients · 72 to 68
      Mar 12, 2019 to May 11, 2020
    • Employees · 8 to 6
      Mar 12, 2019 to May 11, 2020
    • Discretionary RAUM · $406M to $492M
      Mar 12, 2019 to May 11, 2020
    • Pension RAUM · $406M to $492M
      Mar 12, 2019 to May 11, 2020
    • RAUM · $406M to $492M
      Mar 12, 2019 to May 11, 2020
    • Accounts · 71 to 72
      Jun 11, 2018 to Mar 12, 2019
    • Business name · D••••• R••••••••• S•••••••• to D••••• A•••••••• L••
      Jun 11, 2018 to Mar 12, 2019
    • Pension plan clients · 71 to 72
      Jun 11, 2018 to Mar 12, 2019
    • Employees · 6 to 8
      Jun 11, 2018 to Mar 12, 2019
    • Discretionary RAUM · $422M to $406M
      Jun 11, 2018 to Mar 12, 2019
    • Pension RAUM · $422M to $406M
      Jun 11, 2018 to Mar 12, 2019
    • RAUM · $422M to $406M
      Jun 11, 2018 to Mar 12, 2019
    • Legal name · DR ADVISORY SERVICES, LLC to D••••• A•••••••• L••
      Jan 30, 2018 to Jun 11, 2018
    • Accounts · 68 to 71
      Mar 20, 2017 to Jan 30, 2018
    • Advisory employees · 2 to 4
      Mar 20, 2017 to Jan 30, 2018
    • Pension plan clients · unset to 71.0
      Mar 20, 2017 to Jan 30, 2018
    • Employees · 2 to 6
      Mar 20, 2017 to Jan 30, 2018
    • Other offices · unset to 0.0
      Mar 20, 2017 to Jan 30, 2018
    • Discretionary RAUM · $272M to $422M
      Mar 20, 2017 to Jan 30, 2018
    • Non-discretionary RAUM · $3.3M to $0
      Mar 20, 2017 to Jan 30, 2018
    • Pension RAUM · unset to 421558505.0
      Mar 20, 2017 to Jan 30, 2018
    • RAUM · $276M to $422M
      Mar 20, 2017 to Jan 30, 2018
    • Discretionary RAUM · $190M to $272M
      Mar 17, 2016 to Mar 20, 2017
    • Non-discretionary RAUM · $3.7M to $3.3M
      Mar 17, 2016 to Mar 20, 2017
    • RAUM · $194M to $276M
      Mar 17, 2016 to Mar 20, 2017
    • Accounts · 66 to 68
      Mar 20, 2015 to Mar 17, 2016
    • Discretionary RAUM · $177M to $190M
      Mar 20, 2015 to Mar 17, 2016
    Signals
    5 dated events
    • E••• D• C••••••• left D••••• A•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-09-16)
      Dec 5, 2022 · Advisor changed firm · fact
    • J•••••• S•••• B•••••• left D••••• A•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-08-31)
      Dec 5, 2022 · Advisor changed firm · fact
    • T••••• M•••••• S••••••••• left D••••• A•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-08-29)
      Dec 5, 2022 · Advisor changed firm · fact
    • D••••• A•••••••• L••'s advisors moved to G••••• R••••••••• P••••••• L•• (Latham, NY): 3 of 3 registered, on the same day
      Dec 5, 2022 · Firm absorbed (people side) · derived
    • D••••• A•••••••• L•• reported RAUM $421.6M, up 53% from $275.7M (2017-03-20 to 2018-01-30)
      Jan 30, 2018 · RAUM change · 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