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

I•• A•••• M••••••••• I••

Former SEC-registered adviserNew York, New YorkCRD 144827SEC 801-68383IAPD
Latest filing Mar 18, 2016
First filing on the tape Mar 26, 2012 · 20 filings
RAUM
$287M
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
11
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$287M as of Mar 18, 2016
Mar 26, 2012$67.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2016
Mar 26, 20120 then
Employees (5.A)11 as of Mar 18, 2016
Mar 11, 201312 then
Private funds: no history
RAUM -40% over the last fiscal year+49% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2016; 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
$144MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-40%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$287M, 2 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$287M for 2 clientsreported
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
      • A••••• N••••• H•••• · Director/ President & Secretarycontrol
        since 06/2014 · owns less than 5%
      • M•••••••• B••••• D•••• · Director/Chief Compliance Officer / Chief Legal Officercontrol
        since 01/2015 · owns less than 5%
      • D••••••• R•••••• H••• · Ownercontrol
        since 09/2002 · owns 75% or more of S•••••••• A••••••••• H••••••
      Entity owners
      • I•• A•••• M••••••••• B••• · Shareholder
        direct · owns 75% or more
      • H•••••• H••••••••• B••• · Shareholder
        indirect · owns 50% to 75% of I•• B••• (F/K/A Imc International Marketmakers Combination B.V.)
      • I•• B••• · Shareholder
        indirect · owns 50% to 75% of I•• A•••• M••••••••• B•••
      • S•••••••• A••••••••• H•••••• · Shareholder
        indirect · owns 75% or more of H•••••• H••••••••• B•••
      • S•••••••• F•• V••••••••• B• · Shareholder
        indirect · owns 25% to 50% of Imc Bv
      Related persons
      Schedule D 7.A
      Advisers that list I•• A•••• M••••••••• I•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 2
        Mar 25, 2015 to Mar 18, 2016
      • Advisory employees · 7 to 4
        Mar 25, 2015 to Mar 18, 2016
      • Assets in custody · $424M to $287M
        Mar 25, 2015 to Mar 18, 2016
      • Employees · 14 to 11
        Mar 25, 2015 to Mar 18, 2016
      • Discretionary RAUM · $478M to $287M
        Mar 25, 2015 to Mar 18, 2016
      • RAUM · $478M to $287M
        Mar 25, 2015 to Mar 18, 2016
      • Accounts · 5 to 6
        Jan 30, 2015 to Mar 25, 2015
      • Advisory employees · 8 to 7
        Jan 30, 2015 to Mar 25, 2015
      • Assets in custody · $356M to $424M
        Jan 30, 2015 to Mar 25, 2015
      • Discretionary RAUM · $384M to $478M
        Jan 30, 2015 to Mar 25, 2015
      • RAUM · $384M to $478M
        Jan 30, 2015 to Mar 25, 2015
      • Accounts · 2 to 5
        Jan 24, 2014 to Mar 27, 2014
      • Advisory employees · 12 to 8
        Jan 24, 2014 to Mar 27, 2014
      • Advisory activities · 2 to 1
        Jan 24, 2014 to Mar 27, 2014
      • Assets in custody · unset to 355683485.0
        Jan 24, 2014 to Mar 27, 2014
      • Custody of client assets · false to true
        Jan 24, 2014 to Mar 27, 2014
      • Employees · 12 to 14
        Jan 24, 2014 to Mar 27, 2014
      • Discretionary RAUM · $133M to $384M
        Jan 24, 2014 to Mar 27, 2014
      • RAUM · $133M to $384M
        Jan 24, 2014 to Mar 27, 2014
      • Accounts · 1 to 2
        May 16, 2013 to Jul 23, 2013
      • Discretionary RAUM · $86.3M to $133M
        May 16, 2013 to Jul 23, 2013
      • RAUM · $86.3M to $133M
        May 16, 2013 to Jul 23, 2013
      • Accounts · 2 to 1
        Oct 16, 2012 to Mar 11, 2013
      • Advisory employees · unset to 12.0
        Oct 16, 2012 to Mar 11, 2013
      • Assets in custody · 67000000.0 to unset
        Oct 16, 2012 to Mar 11, 2013
      • Custody of client assets · true to false
        Oct 16, 2012 to Mar 11, 2013
      • Employees · unset to 12.0
        Oct 16, 2012 to Mar 11, 2013
      • Discretionary RAUM · $109M to $86.3M
        Oct 16, 2012 to Mar 11, 2013
      • RAUM · $109M to $86.3M
        Oct 16, 2012 to Mar 11, 2013
      • Accounts · 1 to 2
        Aug 23, 2012 to Oct 16, 2012
      • Discretionary RAUM · $67.0M to $109M
        Aug 23, 2012 to Oct 16, 2012
      • RAUM · $67.0M to $109M
        Aug 23, 2012 to Oct 16, 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