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••••••• W••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 144696SEC 801-69947IAPD
Latest filing Sep 8, 2016
First filing on the tape Mar 8, 2012 · 12 filings
RAUM
$145M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$134M as of Feb 29, 2016
Mar 8, 2012$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 29, 2016
Mar 12, 20131 then
Employees (5.A)3 as of Feb 29, 2016
Mar 12, 20133 then
Private funds: no history
RAUM -11% over the last fiscal year-3.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 8, 2016; every figure names its basis
RAUM per advisor
$145MderivedRAUM 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
$664,151derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%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, pension consulting, 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
  • is an insurance broker or agent (6.A.6)
  • 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
219reported
Financial planning clients
1-10reported
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
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
    • B••••• R•••••• T••••• · Managing Membercontrol
      since 01/2004 · owns 25% to 50%
    • C••••••• C•••• M•••••• · Managing Member/Chief Compliance Officercontrol
      since 01/2004 · owns 25% to 50%
    • M•••••••• M••••••• A•••••• · Managing Membercontrol
      since 01/2004 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    Advisers that list C••••••• W••••• M••••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $134M to $145M
      Mar 16, 2016 to May 10, 2016
    • RAUM · $134M to $145M
      Mar 16, 2016 to May 10, 2016
    • Insurance-licensed employees · 1 to 0
      Dec 28, 2015 to Feb 29, 2016
    • Financial planning clients · 101-250 to 1-10
      Dec 28, 2015 to Feb 29, 2016
    • Accounts · 250 to 219
      Oct 14, 2015 to Dec 28, 2015
    • Discretionary RAUM · $163M to $134M
      Oct 14, 2015 to Dec 28, 2015
    • RAUM · $163M to $134M
      Oct 14, 2015 to Dec 28, 2015
    • Related adviser · false to true
      Mar 14, 2015 to May 13, 2015
    • Accounts · 270 to 250
      Mar 26, 2014 to Mar 14, 2015
    • Insurance-licensed employees · 0 to 1
      Mar 26, 2014 to Mar 14, 2015
    • Discretionary RAUM · $168M to $163M
      Mar 26, 2014 to Mar 14, 2015
    • RAUM · $168M to $163M
      Mar 26, 2014 to Mar 14, 2015
    • Accounts · 117 to 270
      Mar 12, 2013 to Mar 26, 2014
    • Discretionary RAUM · $164M to $168M
      Mar 12, 2013 to Mar 26, 2014
    • RAUM · $164M to $168M
      Mar 12, 2013 to Mar 26, 2014
    • Accounts · 109 to 117
      Mar 8, 2012 to Mar 12, 2013
    • Advisory employees · unset to 3.0
      Mar 8, 2012 to Mar 12, 2013
    • Advisory activities · 4 to 5
      Mar 8, 2012 to Mar 12, 2013
    • BD registered reps · unset to 1.0
      Mar 8, 2012 to Mar 12, 2013
    • Employees · unset to 3.0
      Mar 8, 2012 to Mar 12, 2013
    • State-registered IARs · unset to 1.0
      Mar 8, 2012 to Mar 12, 2013
    • Discretionary RAUM · $113M to $164M
      Mar 8, 2012 to Mar 12, 2013
    • RAUM · $113M to $164M
      Mar 8, 2012 to Mar 12, 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