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•••• I••• A••••••• L••
Latest filing Nov 12, 2024
First filing on the tape Feb 21, 2012 · 20 filings
SEC status approved since Mar 28, 2012
RAUM
$147M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$66.7M as of Mar 29, 2024
Mar 27, 2013$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 27, 20130 then
Employees (5.A)9 as of Mar 29, 2024
Mar 27, 20133 then
Private funds: no history
RAUM -98% over the last fiscal year-70% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 12, 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
- $48.9MderivedRAUM 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
- -99%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, otherreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$147M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• D••••• N•• · Chief Compliance Officer And Chief Operating Officercontrolsince 11/2011 · owns less than 5%
- H••••• J••••• P•••• · Managing Member And Chief Executive Officercontrolsince 09/2010 · owns 75% or more
- K•••••••• M••••••• N•• · Chief Investment Officercontrolsince 09/2024 · owns less than 5%
Related persons
Schedule D 7.A
- C•••• C••••• M••••••••• L••investment advisernRAUM $45.1M
- C•••• I••• C••••• O••••••••• L••investment advisernRAUM $45.1M
Advisers that list C•••• I••• A••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueOct 2, 2024 to Nov 12, 2024
- Accounts · 2 to 3Mar 29, 2024 to Oct 2, 2024
- Advisory employees · 6 to 5Mar 29, 2024 to Oct 2, 2024
- Corporate clients · 2 to 3Mar 29, 2024 to Oct 2, 2024
- Employees · 9 to 7Mar 29, 2024 to Oct 2, 2024
- HQ city · unset to NEW YORKMar 29, 2024 to Oct 2, 2024
- HQ state · unset to NYMar 29, 2024 to Oct 2, 2024
- Discretionary RAUM · $66.7M to $147MMar 29, 2024 to Oct 2, 2024
- RAUM · $66.7M to $147MMar 29, 2024 to Oct 2, 2024
- Related adviser · true to falseMar 29, 2024 to Oct 2, 2024
- Financial planning clients · 0 to unsetFeb 1, 2024 to Mar 29, 2024
- Discretionary RAUM · $65.9M to $66.7MFeb 1, 2024 to Mar 29, 2024
- RAUM · $65.9M to $66.7MFeb 1, 2024 to Mar 29, 2024
- Accounts · 3 to 2Mar 30, 2023 to Feb 1, 2024
- Advisory employees · 9 to 6Mar 30, 2023 to Feb 1, 2024
- Advisory activities · 3 to 2Mar 30, 2023 to Feb 1, 2024
- Corporate clients · unset to 2.0Mar 30, 2023 to Feb 1, 2024
- Pooled vehicle clients · 1.0 to unsetMar 30, 2023 to Feb 1, 2024
- Employees · 10 to 9Mar 30, 2023 to Feb 1, 2024
- HQ city · NEW YORK to unsetMar 30, 2023 to Feb 1, 2024
- HQ state · NY to unsetMar 30, 2023 to Feb 1, 2024
- Discretionary RAUM · $75.7M to $65.9MMar 30, 2023 to Feb 1, 2024
- Non-discretionary RAUM · $7.7B to $0Mar 30, 2023 to Feb 1, 2024
- Pooled vehicle RAUM · 68660196.0 to unsetMar 30, 2023 to Feb 1, 2024
- RAUM · $7.7B to $65.9MMar 30, 2023 to Feb 1, 2024
- Advisory employees · 7 to 9Mar 31, 2022 to Mar 30, 2023
- Corporate clients · 1.0 to unsetMar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $108M to $75.7MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $8.0B to $7.7BMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $92.4M to $68.7MMar 31, 2022 to Mar 30, 2023
- RAUM · $8.1B to $7.7BMar 31, 2022 to Mar 30, 2023
- Accounts · 2 to 3Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 9 to 7Mar 30, 2021 to Mar 31, 2022
- Advisory activities · 2 to 3Mar 30, 2021 to Mar 31, 2022
- Corporate clients · unset to 1.0Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $92.8M to $108MMar 30, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $5.1B to $8.0BMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $92.8M to $92.4MMar 30, 2021 to Mar 31, 2022
- RAUM · $5.2B to $8.1BMar 30, 2021 to Mar 31, 2022
- Advisory employees · 8 to 9Mar 30, 2020 to Mar 30, 2021
Signals
5 dated events
- C•••• I••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $146.7M)May 2, 2025 · Left the SEC roster · derived
- Nmn Michael Kurinets (Chief Investment Officer) appeared on Schedule A of C•••• I••• A••••••• L••Oct 2, 2024 · Control person joined · fact
- C•••• I••• A••••••• L•• reported RAUM $65.9M, down 99% from $7.7B (2023-03-30 to 2024-02-01)Feb 1, 2024 · RAUM change · derived
- C•••• I••• A••••••• L•• reported RAUM $8.1B, up 56% from $5.2B (2021-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- C•••• I••• A••••••• L•• reported RAUM $5.2B, down 25% from $6.9B (2020-03-30 to 2021-03-30)Mar 30, 2021 · 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