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

C••••••••• C•••••• C••••

Former SEC-registered adviserNew York, New YorkCRD 159766SEC 801-72918IAPD
Latest filing Mar 29, 2024
First filing on the tape Nov 21, 2011 · 27 filings
RAUM
$82.7M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$82.7M as of Mar 29, 2024
Mar 28, 2012$678M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Apr 1, 20130 then
Employees (5.A)1 as of Mar 29, 2024
Apr 1, 20131 then
Private funds: no history
RAUM -58% over the last fiscal year-35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2024; 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
$82.7MderivedRAUM 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
-58%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$82.7M, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$82.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$82.7M 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R•••• G•••••• N•• · Shareholder And Director/Presidentcontrol
        since 01/1998 · owns less than 5%
      • S•••• H•••• S•• R•••••• · Vice Presidentcontrol
        since 01/2005 · owns less than 5%
      • T••••••••• M••••• N•• · Directorcontrol
        since 11/2011 · owns less than 5%
      • R•••• G•••••• N•• · Trusteecontrol
        since 05/1997 · owns F of T•• S•••• T••••
      • T••••••••• L••••••• N•• · Settlorcontrol
        since 06/2000 · owns F of T•• L•• F••••• T••••
      • T••••••••• M••••• N•• · Settlorcontrol
        since 06/2000 · owns F of T•• M••• F••••• T••••
      • K•••• G••••••• N•• · Vice President And Chief Compliance Officer
        since 07/2007 · owns less than 5%
      • P•••••• E•••••• C•••••• · Vice President
        since 05/2008 · owns less than 5%
      Entity owners
      • T•• M••• F••••• T•••• · Shareholder
        direct · owns 25% to 50%
      • T•• S•••• T•••• · Shareholder
        direct · owns 50% to 75%
      • T•• L•• F••••• T•••• · Shareholder
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•••••• C•••••• L••••••
        bankpooled vehicle sponsorn
      • L•••• I••••••• B••• S•
        n
      • N•• A••••••• I•••
        pooled vehicle sponsory
      • N•• A••••••••• A••••••••• I• L•
        bankpooled vehicle sponsorn
      • N•• A••••••••• A••••••••• L••
        bankpooled vehicle sponsorn
      • N•• A••••••••• M••••••••• I• L••••••
        investment adviserbankn
      • N•• A••••••••• M••••••••• L••
        investment adviserbankn
      • N•• B••••• A••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • N•• C•••••• I•••
        investment advisernRAUM $2.0B
      • N•• E•••• A••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • N•• P••••••• A••••••••• I• L••
        bankpooled vehicle sponsorn
      • N•• P••••••• A••••••••• L••
        bankpooled vehicle sponsorn
      • N•• P••••••• M••••••••• I• L••
        investment adviserbankn
      • N•• P••••••• M••••••••• L••
        investment adviserbankn
      • P••••• J•••• S•••• C•••••• ••••••••• B•••• •••• A• B••••
        n
      • R•••• I•••
        investment adviserbankpooled vehicle sponsorn
      • R•••••••• C•••••• L••
        investment adviserbankpooled vehicle sponsornRAUM $82.7M
      Advisers that list C••••••••• C•••••• C•••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $79.0M to $82.7M
        May 17, 2023 to Mar 29, 2024
      • Discretionary RAUM · $79.0M to $82.7M
        May 17, 2023 to Mar 29, 2024
      • Pooled vehicle RAUM · $79.0M to $82.7M
        May 17, 2023 to Mar 29, 2024
      • RAUM · $79.0M to $82.7M
        May 17, 2023 to Mar 29, 2024
      • Assets in custody · $193M to $79.0M
        Mar 31, 2023 to May 17, 2023
      • Discretionary RAUM · $197M to $79.0M
        Mar 31, 2023 to May 17, 2023
      • Pooled vehicle RAUM · $197M to $79.0M
        Mar 31, 2023 to May 17, 2023
      • RAUM · $197M to $79.0M
        Mar 31, 2023 to May 17, 2023
      • Assets in custody · $283M to $193M
        Jun 21, 2022 to Mar 31, 2023
      • Discretionary RAUM · $325M to $197M
        Jun 21, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $325M to $197M
        Jun 21, 2022 to Mar 31, 2023
      • RAUM · $325M to $197M
        Jun 21, 2022 to Mar 31, 2023
      • Discretionary RAUM · $305M to $325M
        Apr 13, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $305M to $325M
        Apr 13, 2021 to Mar 31, 2022
      • RAUM · $305M to $325M
        Apr 13, 2021 to Mar 31, 2022
      • Assets in custody · $317M to $283M
        Mar 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $349M to $305M
        Mar 30, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $349M to $305M
        Mar 30, 2020 to Mar 30, 2021
      • RAUM · $349M to $305M
        Mar 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $299M to $349M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $299M to $349M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $299M to $349M
        Mar 29, 2019 to Mar 30, 2020
      • Assets in custody · unset to 317030355.0
        Mar 30, 2020 to Mar 30, 2020
      • Custody of client assets · false to true
        Mar 30, 2020 to Mar 30, 2020
      • Discretionary RAUM · $369M to $299M
        Dec 11, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $369M to $299M
        Dec 11, 2018 to Mar 29, 2019
      • RAUM · $369M to $299M
        Dec 11, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $330M to $369M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 368671829.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $330M to $369M
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $284M to $330M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $284M to $330M
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $323M to $284M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $323M to $284M
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $532M to $323M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $532M to $323M
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $698M to $532M
        Nov 20, 2013 to Mar 31, 2014
      • RAUM · $698M to $532M
        Nov 20, 2013 to Mar 31, 2014
      Signals
      5 dated events
      • C••••••••• C•••••• C•••• reported RAUM $79.0M, down 60% from $197.3M (2023-03-31 to 2023-05-17)
        May 17, 2023 · RAUM change · derived
      • C••••••••• C•••••• C•••• reported RAUM $197.3M, down 39% from $325.0M (2022-06-21 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • (Nmn) Lillian Tabacinic (Settlor) appeared on Schedule A of C••••••••• C•••••• C••••
        Apr 13, 2021 · Control person joined · fact
      • Shu Rebecca Hung Shen (Vice President) appeared on Schedule A of C••••••••• C•••••• C••••
        Mar 30, 2021 · Control person joined · fact
      • Moris Tabacinic (Director) appeared on Schedule A of C••••••••• C•••••• C••••
        Mar 30, 2021 · Control person joined · fact
      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