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••••• C•••••••• W••••• M••••••••• L•
Latest filing Mar 31, 2021
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
98%
$1.5B 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2021
Mar 30, 2012$766M then
HNW client RAUM$1.5B as of Mar 31, 2021
Mar 29, 2018$1.3B then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 30, 20120 then
Employees (5.A)3 as of Mar 31, 2021
Apr 1, 20139 then
Private funds: no history
RAUM +8.2% over the last fiscal year+5.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
- $39.8MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 52%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $127M, 4 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B98%
- Charitable organizations$22.0M1.4%
- Corporations and businesses$9.1M0.6%
- Individuals$574,8640.0%
- Individual clients
- 8reported
- HNW clients
- 38reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 709reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $127M for 4 clientsreported
- 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
Left, latest
- B•••••• P••••••••• P••• to A•••••• F•••••••• L•Dec 11, 2017 · Other
- D•••• B••••••• B••••••• to A•••••• F•••••••• L•Dec 31, 2016 · Other
- A••• H•••• M•••••••• to A•••••• F•••••••• L•Dec 31, 2016 · Other
- D•••• J••••• P••••••• to A•••••• F•••••••• L•Dec 31, 2016 · Other
- S••••• P•••••••• to A•••••• F•••••••• L•Sep 1, 2016 · Other
- S••• A••••••• B••••• to I••••••• C•••••• M••••••••• L••Jul 22, 2014 · Other
Joined, latest
- B•••••• P••••••••• P••• from V•••••••• F•••••••• S•••••••• I•••Mar 7, 2016 · Other
- S••••• P•••••••• from M•• I•••••••• S•••••••• L••May 6, 2011 · Other
- S••• A••••••• B••••• from Y••• A•••••••• I•••Mar 13, 2009 · Other
- A••• H•••• M•••••••• from Y••• A•••••••• I•••Mar 13, 2009 · Other
- D•••• J••••• P••••••• from Y••• A•••••••• I•••Mar 13, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C••••• C•••••••• W••••• M••••••••• L••Dec 23, 2021 · New York, Ny · Firm absorbed
- 3 left for A•••••• F•••••••• L•Dec 31, 2016 · New York, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• M•••••• · Chief Compliance Officer, Limited Partnercontrolsince 06/2016 · owns less than 5%
Entity owners
- C••••• C•••••••• F•••••••• A•••••••• L• · General Partnerdirect · owns 75% or more
- C••••• C•••••••• • C••••••• L•• · Limited Partnerindirect · owns 75% or more of C••••• C•••••••• F•••••••• A•••••••• L•
- C••••• C•••••••• • C••••••• L•• · Sole Memberindirect · owns 75% or more of C••••• C•••••••• H•••••• C••••••• L••
- C••••• C•••••••• H•••••• C••••••• L•• · General Partnerindirect · owns F of C••••• C•••••••• F•••••••• A•••••••• L•
Related persons
Schedule D 7.A
- A•••••• F•••••••• L•investment advisernRAUM $4.0B
- A•••••• I•••••••• S•••••••• L•real estaten
- A••••• H••••••insurancey
- C••••• C•••••••• • C••••••• L••insurancey
Advisers that list C••••• C•••••••• W••••• M••••••••• L• as a related person
- 281512 n
Offices
Schedule D 1.F, the 25 largest
- White Plains, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 635 to 709Jun 29, 2020 to Mar 31, 2021
- Corporate clients · 12 to 1Jun 29, 2020 to Mar 31, 2021
- HNW clients · 32 to 38Jun 29, 2020 to Mar 31, 2021
- Individual clients · 15 to 8Jun 29, 2020 to Mar 31, 2021
- Assets in custody · $215M to $127MJun 29, 2020 to Mar 31, 2021
- Financial planning clients · 51-100 to 11-25Jun 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $510M to $796MJun 29, 2020 to Mar 31, 2021
- HNW RAUM · $1.2B to $1.5BJun 29, 2020 to Mar 31, 2021
- Individual RAUM · $2.2M to $574,864Jun 29, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $916M to $748MJun 29, 2020 to Mar 31, 2021
- RAUM · $1.4B to $1.5BJun 29, 2020 to Mar 31, 2021
- Accounts · 527 to 635Mar 31, 2019 to Mar 26, 2020
- Charity clients · 6 to 7Mar 31, 2019 to Mar 26, 2020
- Corporate clients · 15 to 12Mar 31, 2019 to Mar 26, 2020
- HNW clients · 29 to 32Mar 31, 2019 to Mar 26, 2020
- Individual clients · 10 to 15Mar 31, 2019 to Mar 26, 2020
- Assets in custody · $251M to $215MMar 31, 2019 to Mar 26, 2020
- Financial planning clients · 26-50 to 51-100Mar 31, 2019 to Mar 26, 2020
- Discretionary RAUM · $451M to $510MMar 31, 2019 to Mar 26, 2020
- HNW RAUM · $1.0B to $1.2BMar 31, 2019 to Mar 26, 2020
- Individual RAUM · $987,956 to $2.2MMar 31, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $785M to $916MMar 31, 2019 to Mar 26, 2020
- RAUM · $1.2B to $1.4BMar 31, 2019 to Mar 26, 2020
- Accounts · 546 to 527Mar 29, 2018 to Mar 31, 2019
- Charity clients · 0 to 6Mar 29, 2018 to Mar 31, 2019
- Corporate clients · 3 to 15Mar 29, 2018 to Mar 31, 2019
- HNW clients · 26 to 29Mar 29, 2018 to Mar 31, 2019
- Individual clients · 2 to 10Mar 29, 2018 to Mar 31, 2019
- Assets in custody · $266M to $251MMar 29, 2018 to Mar 31, 2019
- Discretionary RAUM · $357M to $451MMar 29, 2018 to Mar 31, 2019
- HNW RAUM · $1.3B to $1.0BMar 29, 2018 to Mar 31, 2019
- Individual RAUM · $44,828 to $987,956Mar 29, 2018 to Mar 31, 2019
- Non-discretionary RAUM · $953M to $785MMar 29, 2018 to Mar 31, 2019
- RAUM · $1.3B to $1.2BMar 29, 2018 to Mar 31, 2019
- Accounts · 537 to 546Mar 30, 2017 to Mar 29, 2018
- Advisory activities · 4 to 3Mar 30, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Corporate clients · unset to 3.0Mar 30, 2017 to Mar 29, 2018
- HNW clients · unset to 26.0Mar 30, 2017 to Mar 29, 2018
- Individual clients · unset to 2.0Mar 30, 2017 to Mar 29, 2018
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