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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

D••••••••• F•••••••• G••••• L••

Former SEC-registered adviserRome, New YorkCRD 149613SEC 801-70094IAPD
Latest filing Nov 23, 2021
First filing on the tape Mar 22, 2012 · 18 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 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$12.9M as of Mar 26, 2021
Mar 22, 2012$3.3M then
HNW client RAUM$9.8M as of Mar 26, 2021
Mar 22, 2018$6.5M then
State-registered IARs (5.B.3)4 as of Mar 26, 2021
Mar 28, 20135 then
Employees (5.A)4 as of Mar 26, 2021
Mar 28, 20135 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 4 to 1offices 1 to 0
Practice profile
derived from the filing of Nov 23, 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-19%derived
Compensation
otherreportedItem 5.E
Advisory activities
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
  • R•••• R•••••• R• •• O•••• · Vice Presidentcontrol
    since 03/2009 · owns less than 5%
  • R•••• R•••••• R• •• O•••• · Managing Membercontrol
    since 02/2009 · owns F of D••••••••• H•••••• L••
Entity owners
  • D••••••••• H•••••• L•• · Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • D••••••••• • C••••••• L••
    insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 41.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Advisory employees · 4 to 1
    Mar 26, 2021 to Oct 1, 2021
  • Advisory activities · 3 to 1
    Mar 26, 2021 to Oct 1, 2021
  • BD registered reps · 4 to 0
    Mar 26, 2021 to Oct 1, 2021
  • Charity clients · 0.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Corporate clients · 0.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • HNW clients · 10.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Individual clients · 16.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Pension plan clients · 0.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Pooled vehicle clients · 0.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Employees · 4 to 1
    Mar 26, 2021 to Oct 1, 2021
  • Insurance-licensed employees · 3 to 1
    Mar 26, 2021 to Oct 1, 2021
  • HQ city · UTICA to ROME
    Mar 26, 2021 to Oct 1, 2021
  • State-registered IARs · 4 to 1
    Mar 26, 2021 to Oct 1, 2021
  • Other offices · 1 to 0
    Mar 26, 2021 to Oct 1, 2021
  • Discretionary RAUM · 12865127.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • HNW RAUM · 9800000.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Individual RAUM · 3065127.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Non-discretionary RAUM · 0.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • RAUM · 12865127.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Related adviser · true to false
    Mar 26, 2021 to Oct 1, 2021
  • Wrap assets (manager) · 12865127.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Wrap assets (sponsor) · 0.0 to unset
    Mar 26, 2021 to Oct 1, 2021
  • Accounts · 55 to 41
    Jun 30, 2020 to Mar 26, 2021
  • HNW clients · 11 to 10
    Jun 30, 2020 to Mar 26, 2021
  • Individual clients · 21 to 16
    Jun 30, 2020 to Mar 26, 2021
  • Discretionary RAUM · $16.6M to $12.9M
    Jun 30, 2020 to Mar 26, 2021
  • HNW RAUM · $12.7M to $9.8M
    Jun 30, 2020 to Mar 26, 2021
  • Individual RAUM · $3.9M to $3.1M
    Jun 30, 2020 to Mar 26, 2021
  • RAUM · $16.6M to $12.9M
    Jun 30, 2020 to Mar 26, 2021
  • Wrap assets (manager) · $16.6M to $12.9M
    Jun 30, 2020 to Mar 26, 2021
  • Accounts · 42 to 55
    Apr 18, 2019 to Mar 30, 2020
  • Advisory activities · 4 to 3
    Apr 18, 2019 to Mar 30, 2020
  • BD registered reps · 5 to 4
    Apr 18, 2019 to Mar 30, 2020
  • HNW clients · 10 to 11
    Apr 18, 2019 to Mar 30, 2020
  • Individual clients · 19 to 21
    Apr 18, 2019 to Mar 30, 2020
  • Employees · 5 to 4
    Apr 18, 2019 to Mar 30, 2020
  • Insurance-licensed employees · 4 to 3
    Apr 18, 2019 to Mar 30, 2020
  • State-registered IARs · 5 to 4
    Apr 18, 2019 to Mar 30, 2020
  • Other offices · 2 to 1
    Apr 18, 2019 to Mar 30, 2020
Signals
4 dated events
  • 2 advisors left P••••••• C••••••••• I••• (Utica, NY) for D••••••••• F•••••••• G••••• L•• on the same day
    Mar 25, 2024 · Team lift-out · derived
  • Ann Laurie Schoen (Member) no longer on Schedule A of D••••••••• F•••••••• G••••• L•• (listed 2021-03-26, absent 2021-10-01)
    Oct 1, 2021 · Control person left · inference
  • Louise Amy Mielnicki (Member) no longer on Schedule A of D••••••••• F•••••••• G••••• L•• (listed 2021-03-26, absent 2021-10-01)
    Oct 1, 2021 · Control person left · inference
  • Powers Janice Williams (Chief Compliance Officer) no longer on Schedule A of D••••••••• F•••••••• G••••• L•• (listed 2019-03-25, absent 2019-04-18)
    Apr 18, 2019 · Control person left · inference
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