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.

Former SEC-registered adviser

Walnut Street Securities, Inc.

Former SEC-registered adviserNew York, New YorkCRD 15840SEC 801-62161IAPD
Latest filing May 8, 2013
First filing on the tape Mar 26, 2012 · 9 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
16%
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
1,495
370 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.1B as of Mar 22, 2013
Mar 26, 2012$933M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 386
Employees (5.A): 1,495
Private funds: no history
RAUM +20% over the last fiscal year
Practice profile
derived from the filing of May 8, 2013; every figure names its basis
RAUM per advisor
$2.9MderivedRAUM 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
$219,040derivedRAUM over accounts (5.F.2.f)
Discretionary
16%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.9derivedItem 5.A over advisors
Advisors per office
64.3derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+20%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, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
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
5,104reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
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
    • Virgelan Ernesto Aquino · Chief Compliance Officer, Broker Dealercontrol
      since 10/2007 · owns less than 5%
    • Andre Theodore Carrier · Chief Operations Officercontrol
      since 04/2013 · owns less than 5%
    • Marc Allan Cohn · Chief Compliance Officer, Investment Advisercontrol
      since 09/2006 · owns less than 5%
    • James Dwyer · Vice President, Licensing And Registrationcontrol
      since 08/2006 · owns less than 5%
    • Elizabeth Mary Forget · Directorcontrol
      since 06/2012 · owns less than 5%
    • Jeffrey Paul Halperin · Anti-Money Laundering Officercontrol
      since 04/2006 · owns less than 5%
    • Michael J Lacek · Chief Legal Officercontrol
      since 03/2008 · owns less than 5%
    • Craig William Markham · Presidentcontrol
      since 09/2003 · owns less than 5%
    • John Gregory Martinez · Vice President And Financial And Operations Principalcontrol
      since 05/2007 · owns less than 5%
    • Isaac Torres · Secretarycontrol
      since 05/2010 · owns less than 5%
    Entity owners
    • Metlife, Inc. · Direct Owner
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list Walnut Street Securities, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Cincinnati, OH
    • Cleveland, OH
    • Ft. Lauderdale, FL
    • St. Louis, MO
    • Toledo, OH
    What changed
    consecutive filings, newest first
    • Accounts · 4,441 to 5,104
      Feb 21, 2013 to Mar 22, 2013
    • Advisory employees · 394 to 370
      Feb 21, 2013 to Mar 22, 2013
    • BD registered reps · 1,084 to 1,006
      Feb 21, 2013 to Mar 22, 2013
    • Employees · 1,409 to 1,495
      Feb 21, 2013 to Mar 22, 2013
    • Insurance-licensed employees · 180 to 130
      Feb 21, 2013 to Mar 22, 2013
    • State-registered IARs · 394 to 386
      Feb 21, 2013 to Mar 22, 2013
    • Discretionary RAUM · $148M to $184M
      Feb 21, 2013 to Mar 22, 2013
    • Non-discretionary RAUM · $785M to $934M
      Feb 21, 2013 to Mar 22, 2013
    • RAUM · $933M to $1.1B
      Feb 21, 2013 to Mar 22, 2013
    • Related bank · false to true
      Feb 21, 2013 to Mar 22, 2013
    • Advisory employees · unset to 394.0
      Mar 26, 2012 to Nov 20, 2012
    • BD registered reps · unset to 1084.0
      Mar 26, 2012 to Nov 20, 2012
    • Employees · unset to 1409.0
      Mar 26, 2012 to Nov 20, 2012
    • State-registered IARs · unset to 394.0
      Mar 26, 2012 to Nov 20, 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