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
A••••• I••••••••• M•••••••••
Legal name M••••••• I••••••••• P••••••• L••
Latest filing Mar 4, 2014
First filing on the tape Feb 13, 2012 · 11 filings
RAUM
$62.0M
reported, Item 5.F
Discretionary
100%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$993M as of Feb 12, 2013
May 1, 2012$798M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 5
Employees (5.A): 10
Private funds: no history
RAUM -92% over the last fiscal year
Practice profile
derived from the filing of Mar 4, 2014; 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
- $167,565derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.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
- 370reported
- Financial planning clients
- n/areported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• R•••••• J•••••••• · Chief Compliance Officercontrolsince 01/2014 · owns 50% to 75%
- S••••••• L••••• W•••• · Senior Managing Director And Co-Chief Investment Officercontrolsince 10/2011 · owns 10% to 25%
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 · 4,919 to 370Jun 11, 2013 to Mar 4, 2014
- Advisory employees · 5 to 2Jun 11, 2013 to Mar 4, 2014
- BD registered reps · 3 to 0Jun 11, 2013 to Mar 4, 2014
- Employees · 10 to 2Jun 11, 2013 to Mar 4, 2014
- State-registered IARs · 5 to 0Jun 11, 2013 to Mar 4, 2014
- Discretionary RAUM · $993M to $62.0MJun 11, 2013 to Mar 4, 2014
- RAUM · $993M to $62.0MJun 11, 2013 to Mar 4, 2014
- Advisory activities · 3 to 4Feb 12, 2013 to Mar 11, 2013
- Accounts · 9 to 4,919Jan 17, 2013 to Feb 12, 2013
- Advisory employees · 3 to 5Jan 17, 2013 to Feb 12, 2013
- BD registered reps · 0 to 3Jan 17, 2013 to Feb 12, 2013
- State-registered IARs · 1 to 5Jan 17, 2013 to Feb 12, 2013
- Discretionary RAUM · $798M to $993MJan 17, 2013 to Feb 12, 2013
- RAUM · $798M to $993MJan 17, 2013 to Feb 12, 2013
- HQ city · NEW YORK to STAMFORDDec 14, 2012 to Jan 17, 2013
- HQ state · NY to CTDec 14, 2012 to Jan 17, 2013
- Advisory employees · unset to 3.0Aug 8, 2012 to Dec 14, 2012
- Employees · unset to 10.0Aug 8, 2012 to Dec 14, 2012
- State-registered IARs · unset to 1.0Aug 8, 2012 to Dec 14, 2012
- Business name · A••••• A••••••••• to A••••• I••••••••• M•••••••••Apr 10, 2012 to Apr 10, 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