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RIA Intelligence

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Former SEC-registered adviser

A••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 153939SEC 801-71480IAPD
Latest filing Mar 19, 2021
First filing on the tape Apr 3, 2012 · 16 filings
RAUM
$960M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
4.7%
$45.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$960M as of Mar 19, 2021
Apr 3, 2012$400M then
HNW client RAUM$45.0M as of Mar 19, 2021
Mar 30, 2018$180M then
State-registered IARs (5.B.3)7 as of Mar 19, 2021
Apr 3, 20120 then
Employees (5.A)8 as of Mar 19, 2021
Mar 22, 20136 then
Private funds: no history
RAUM +39% over the last fiscal year+15% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 19, 2021; every figure names its basis
RAUM per advisor
$137MderivedRAUM 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
$50.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+39%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
fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$835M87%
  • Charitable organizations$80.0M8.3%
  • High-net-worth individuals$45.0M4.7%
Individual clients
0reported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
19reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
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
      • R••••• B••••• M•••••• · Managing Member/Presidentcontrol
        since 10/2008 · owns 50% to 75%
      • S••••••• J•••• · Membercontrol
        since 01/2010 · owns 25% to 50%
      • S•••••• D••••• M••• · Chief Compliance Officer
        since 01/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 19
        Mar 27, 2020 to Mar 19, 2021
      • Individual clients · unset to 0.0
        Mar 27, 2020 to Mar 19, 2021
      • Pension plan clients · unset to 0.0
        Mar 27, 2020 to Mar 19, 2021
      • HNW RAUM · $40.0M to $45.0M
        Mar 27, 2020 to Mar 19, 2021
      • Non-discretionary RAUM · $690M to $960M
        Mar 27, 2020 to Mar 19, 2021
      • RAUM · $690M to $960M
        Mar 27, 2020 to Mar 19, 2021
      • Accounts · 14 to 18
        Mar 28, 2019 to Mar 27, 2020
      • Corporate clients · 0.0 to unset
        Mar 28, 2019 to Mar 27, 2020
      • Individual clients · 0.0 to unset
        Mar 28, 2019 to Mar 27, 2020
      • HNW RAUM · $150M to $40.0M
        Mar 28, 2019 to Mar 27, 2020
      • Non-discretionary RAUM · $1.1B to $690M
        Mar 28, 2019 to Mar 27, 2020
      • Pension RAUM · $160M to $0
        Mar 28, 2019 to Mar 27, 2020
      • RAUM · $1.1B to $690M
        Mar 28, 2019 to Mar 27, 2020
      • Accounts · 9 to 14
        Mar 14, 2019 to Mar 28, 2019
      • Advisory employees · 8 to 7
        Mar 14, 2019 to Mar 28, 2019
      • Charity clients · 0.0 to unset
        Mar 14, 2019 to Mar 28, 2019
      • HNW clients · 3.0 to unset
        Mar 14, 2019 to Mar 28, 2019
      • Pension plan clients · 0.0 to unset
        Mar 14, 2019 to Mar 28, 2019
      • Employees · 10 to 8
        Mar 14, 2019 to Mar 28, 2019
      • State-registered IARs · 5 to 7
        Mar 14, 2019 to Mar 28, 2019
      • HNW RAUM · $180M to $150M
        Mar 14, 2019 to Mar 28, 2019
      • Non-discretionary RAUM · $630M to $1.1B
        Mar 14, 2019 to Mar 28, 2019
      • Pension RAUM · $0 to $160M
        Mar 14, 2019 to Mar 28, 2019
      • RAUM · $630M to $1.1B
        Mar 14, 2019 to Mar 28, 2019
      • Accounts · 5 to 9
        Mar 31, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • HNW clients · unset to 3.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $430M to $0
        Mar 31, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 180000000.0
        Mar 31, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $0 to $630M
        Mar 31, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $430M to $630M
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 7 to 5
        Aug 30, 2016 to Mar 31, 2017
      Signals
      4 dated events
      • ••• Locked
        Mar 19, 2021 · RAUM change · derived
      • ••• Locked
        Mar 27, 2020 · RAUM change · derived
      • ••• Locked
        Mar 28, 2019 · RAUM change · derived
      • ••• Locked
        Mar 30, 2018 · RAUM change · derived
      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