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••••••••• P••••••• I• L••

Former SEC-registered adviserEast Syracuse, New YorkCRD 145807SEC 801-69184IAPD
Latest filing Feb 9, 2022
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$53.8M
reported, Item 5.F
Discretionary
0.0%
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
9
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$53.8M as of Feb 9, 2022
Mar 30, 2012$7.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Feb 9, 2022
Apr 1, 20135 then
Employees (5.A)9 as of Feb 9, 2022
Apr 1, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year+22% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Feb 9, 2022; every figure names its basis
RAUM per advisor
$6.0MderivedRAUM 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
$3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+13%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
17reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • V••••• D••••• J••••• · Chief Executive Officercontrol
        since 12/2017 · owns less than 5%
      • K•••• G••••• A•••••• · Managing Membercontrol
        since 10/2006 · owns F of F••••• I•••
      • R••••• D•••••• F•••••• · Shareholdercontrol
        since 10/2006 · owns F of F••••• I•••
      • H•••••• M•••• R•••••• · Chief Compliance Officer
        since 03/2016 · owns less than 5%
      Entity owners
      • P••••••• H•••••• C••••••• L•• · Managing Member
        direct · owns 75% or more
      • F••••• I••• · Managing Member
        indirect · owns 75% or more of P••••••• H•••••• C••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list C••••••••• P••••••• I• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 7 to 8
        May 18, 2021 to Feb 9, 2022
      • BD registered reps · 7 to 8
        May 18, 2021 to Feb 9, 2022
      • Employees · 8 to 9
        May 18, 2021 to Feb 9, 2022
      • Insurance-licensed employees · 7 to 8
        May 18, 2021 to Feb 9, 2022
      • State-registered IARs · 8 to 9
        May 18, 2021 to Feb 9, 2022
      • Non-discretionary RAUM · $46.1M to $53.8M
        May 18, 2021 to Feb 9, 2022
      • RAUM · $46.1M to $53.8M
        May 18, 2021 to Feb 9, 2022
      • HQ city · SYRACUSE to EAST SYRACUSE
        Mar 5, 2021 to May 18, 2021
      • Accounts · 16 to 17
        Mar 3, 2020 to Mar 5, 2021
      • Non-discretionary RAUM · $40.3M to $46.1M
        Mar 3, 2020 to Mar 5, 2021
      • RAUM · $40.3M to $46.1M
        Mar 3, 2020 to Mar 5, 2021
      • Advisory employees · 8 to 7
        Apr 30, 2019 to Mar 3, 2020
      • BD registered reps · 9 to 7
        Apr 30, 2019 to Mar 3, 2020
      • Employees · 10 to 8
        Apr 30, 2019 to Mar 3, 2020
      • Insurance-licensed employees · 8 to 7
        Apr 30, 2019 to Mar 3, 2020
      • State-registered IARs · 7 to 8
        Apr 30, 2019 to Mar 3, 2020
      • Non-discretionary RAUM · $29.6M to $40.3M
        Apr 30, 2019 to Mar 3, 2020
      • RAUM · $29.6M to $40.3M
        Apr 30, 2019 to Mar 3, 2020
      • Non-discretionary RAUM · $31.9M to $29.6M
        Feb 11, 2019 to Apr 30, 2019
      • RAUM · $31.9M to $29.6M
        Feb 11, 2019 to Apr 30, 2019
      • Accounts · 871 to 16
        Mar 27, 2018 to Jul 11, 2018
      • Individual clients · 871.0 to unset
        Mar 27, 2018 to Jul 11, 2018
      • Individual RAUM · 31862422.0 to unset
        Mar 27, 2018 to Jul 11, 2018
      • Accounts · 15 to 871
        Jul 18, 2017 to Mar 27, 2018
      • Advisory employees · 4 to 8
        Jul 18, 2017 to Mar 27, 2018
      • Advisory activities · 1 to 2
        Jul 18, 2017 to Mar 27, 2018
      • BD registered reps · 7 to 9
        Jul 18, 2017 to Mar 27, 2018
      • Individual clients · unset to 871.0
        Jul 18, 2017 to Mar 27, 2018
      • Employees · 7 to 10
        Jul 18, 2017 to Mar 27, 2018
      • Insurance-licensed employees · 5 to 8
        Jul 18, 2017 to Mar 27, 2018
      • Financial planning clients · 0 to 1-10
        Jul 18, 2017 to Mar 27, 2018
      • State-registered IARs · 5 to 7
        Jul 18, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Jul 18, 2017 to Mar 27, 2018
      • Individual RAUM · unset to 31862422.0
        Jul 18, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · $28.4M to $31.9M
        Jul 18, 2017 to Mar 27, 2018
      • RAUM · $28.4M to $31.9M
        Jul 18, 2017 to Mar 27, 2018
      • Accounts · 14 to 15
        Mar 17, 2016 to Mar 27, 2017
      • Advisory employees · 5 to 4
        Mar 17, 2016 to Mar 27, 2017
      • Employees · 8 to 7
        Mar 17, 2016 to Mar 27, 2017
      • Insurance-licensed employees · 7 to 5
        Mar 17, 2016 to Mar 27, 2017
      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