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

R••• M••••••••• L••

Former SEC-registered adviserMamaroneck, New YorkCRD 158914SEC 801-74306IAPD
Latest filing Mar 27, 2017
First filing on the tape Feb 16, 2012 · 9 filings
RAUM
$32.9M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$38.1M gross assets
History
9 filings and snapshots on the tape
RAUM$32.9M as of Mar 27, 2017
Mar 4, 2013$30.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2017
Mar 4, 20130 then
Employees (5.A)3 as of Mar 27, 2017
Mar 4, 20133 then
Private funds2 as of Mar 27, 2017
Mar 4, 20132 then
RAUM -6.0% over the last fiscal year-3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2017; 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
$32.9MderivedRAUM 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
-6.0%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$32.9M, 1 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
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$32.9M for 1 clientsreported
Compensation
% of AUM, performancereported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••• S••••••••• P••••••• F••• L•Hedge Fund$32.9M1Feb 16, 2012
      R••• S••••••••• P••••••• F••• L••Hedge Fund$5.2M1Mar 23, 2015
      R••• O••••• F••• L•no longer reportedHedge Fund$29,0001Feb 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• B••••• E••••• · Membercontrol
        since 12/2008 · owns 25% to 50%
      • C•••• T••••••• E••••• · Member, Chief Compliance Officercontrol
        since 12/2008 · owns 25% to 50%
      • G•••••• D••••• · Membercontrol
        since 12/2008 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • R••• S••••••••• P•••••• F••• G• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $35.0M to $32.9M
        Apr 4, 2016 to Mar 27, 2017
      • Employees · 4 to 3
        Apr 4, 2016 to Mar 27, 2017
      • HQ city · NEW YORK to MAMARONECK
        Apr 4, 2016 to Mar 27, 2017
      • Discretionary RAUM · $35.0M to $32.9M
        Apr 4, 2016 to Mar 27, 2017
      • RAUM · $35.0M to $32.9M
        Apr 4, 2016 to Mar 27, 2017
      • Advisory activities · 1 to 2
        Mar 23, 2015 to Mar 22, 2016
      • Assets in custody · $39.1M to $35.0M
        Mar 23, 2015 to Mar 22, 2016
      • Employees · 5 to 4
        Mar 23, 2015 to Mar 22, 2016
      • Private funds · 3 to 2
        Mar 23, 2015 to Mar 22, 2016
      • Discretionary RAUM · $37.7M to $35.0M
        Mar 23, 2015 to Mar 22, 2016
      • RAUM · $37.7M to $35.0M
        Mar 23, 2015 to Mar 22, 2016
      • Accounts · 2 to 1
        Sep 9, 2014 to Mar 23, 2015
      • Assets in custody · $36.4M to $39.1M
        Sep 9, 2014 to Mar 23, 2015
      • Private funds · 2 to 3
        Sep 9, 2014 to Mar 23, 2015
      • Discretionary RAUM · $36.4M to $37.7M
        Sep 9, 2014 to Mar 23, 2015
      • RAUM · $36.4M to $37.7M
        Sep 9, 2014 to Mar 23, 2015
      • Employees · 4 to 5
        Mar 11, 2014 to Sep 9, 2014
      • Advisory activities · 2 to 1
        Jan 17, 2014 to Mar 11, 2014
      • Assets in custody · $32.5M to $36.4M
        Jan 17, 2014 to Mar 11, 2014
      • Employees · 3 to 4
        Jan 17, 2014 to Mar 11, 2014
      • Discretionary RAUM · $30.8M to $36.4M
        Jan 17, 2014 to Mar 11, 2014
      • RAUM · $30.8M to $36.4M
        Jan 17, 2014 to Mar 11, 2014
      • HQ city · MAMARONECK to NEW YORK
        Mar 4, 2013 to Jan 17, 2014
      • Advisory employees · unset to 3.0
        Feb 16, 2012 to Mar 4, 2013
      • Advisory activities · 1 to 2
        Feb 16, 2012 to Mar 4, 2013
      • BD registered reps · unset to 0.0
        Feb 16, 2012 to Mar 4, 2013
      • Assets in custody · unset to 32500000.0
        Feb 16, 2012 to Mar 4, 2013
      • Custody of client assets · false to true
        Feb 16, 2012 to Mar 4, 2013
      • Employees · unset to 3.0
        Feb 16, 2012 to Mar 4, 2013
      • State-registered IARs · unset to 0.0
        Feb 16, 2012 to Mar 4, 2013
      • Discretionary RAUM · $32.0M to $30.8M
        Feb 16, 2012 to Mar 4, 2013
      • RAUM · $32.0M to $30.8M
        Feb 16, 2012 to Mar 4, 2013
      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