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•••••• R••••••••• I••••••••• A••••••• L••

Former SEC-registered adviserUniondale, New YorkCRD 161446SEC 801-73918IAPD
Latest filing Mar 29, 2021
First filing on the tape Feb 14, 2012 · 18 filings
RAUM
$863M
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
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$863M gross assets
History
18 filings and snapshots on the tape
RAUM$863M as of Mar 29, 2021
Mar 28, 2013$919M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Mar 28, 20130 then
Employees (5.A)4 as of Mar 29, 2021
Mar 28, 201327 then
Private funds1 as of Mar 29, 2021
Mar 28, 20134 then
RAUM +2.1% over the last fiscal year+0.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2021; 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
$432MderivedRAUM 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
+2.1%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 vehiclesreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$863M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• R••••••••• M••••••• O••••••••• F••• I• L•••Real Estate Fund$863M18Feb 14, 2012
      S••••• R••••••••• M••••••• O••••••••• F••• L•••no longer reportedReal Estate Fund$7.0M25Feb 14, 2012
      S••••• R••••••••• M••••••• O••••••••• ••••••• F••• L•••no longer reportedReal Estate Fund$011Feb 14, 2012
      S••••• R••••••••• M••••••• O••••••••• ••••••• F••• I• L•••no longer reportedReal Estate Fund$08Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• D••••• E••••• · Principalcontrol
        since 04/2008 · owns less than 5%
      • F••••• B•••••• · Chief Compliance Officercontrol
        since 06/2019 · owns less than 5%
      • R••••••• L••••• S•••••••• · Principalcontrol
        since 04/2008 · owns less than 5%
      • S•••• S••••• A•••• · Principalcontrol
        since 04/2008 · owns less than 5%
      • S••••• Y•••• E••••• · Principalcontrol
        since 04/2008 · owns less than 5%
      Entity owners
      • R•••••• P••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $845M to $863M
        Mar 30, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $845M to $863M
        Mar 30, 2020 to Mar 29, 2021
      • RAUM · $845M to $863M
        Mar 30, 2020 to Mar 29, 2021
      • Employees · 14 to 4
        Sep 19, 2019 to Mar 30, 2020
      • Financial planning clients · unset to 0
        Sep 19, 2019 to Mar 30, 2020
      • Discretionary RAUM · $823M to $845M
        Sep 19, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $823M to $845M
        Sep 19, 2019 to Mar 30, 2020
      • RAUM · $823M to $845M
        Sep 19, 2019 to Mar 30, 2020
      • Private funds · 2 to 1
        Jun 18, 2019 to Sep 19, 2019
      • Other offices · 1 to 0
        Mar 31, 2018 to Mar 29, 2019
      • Discretionary RAUM · $849M to $823M
        Mar 31, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $849M to $823M
        Mar 31, 2018 to Mar 29, 2019
      • RAUM · $849M to $823M
        Mar 31, 2018 to Mar 29, 2019
      • Accounts · 4 to 2
        Apr 1, 2017 to Mar 31, 2018
      • Advisory employees · 8 to 4
        Apr 1, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 2.0
        Apr 1, 2017 to Mar 31, 2018
      • Employees · 26 to 14
        Apr 1, 2017 to Mar 31, 2018
      • Other offices · unset to 1.0
        Apr 1, 2017 to Mar 31, 2018
      • Private funds · 4 to 2
        Apr 1, 2017 to Mar 31, 2018
      • Discretionary RAUM · $1.3B to $849M
        Apr 1, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 848997909.0
        Apr 1, 2017 to Mar 31, 2018
      • RAUM · $1.3B to $849M
        Apr 1, 2017 to Mar 31, 2018
      • Accounts · 5 to 4
        Jan 25, 2017 to Apr 1, 2017
      • Advisory employees · 11 to 8
        Jan 25, 2017 to Apr 1, 2017
      • Advisory activities · 2 to 1
        Jan 25, 2017 to Apr 1, 2017
      • Employees · 27 to 26
        Jan 25, 2017 to Apr 1, 2017
      • Discretionary RAUM · $1.4B to $1.3B
        Jan 25, 2017 to Apr 1, 2017
      • Non-discretionary RAUM · $4.3M to $0
        Jan 25, 2017 to Apr 1, 2017
      • RAUM · $1.4B to $1.3B
        Jan 25, 2017 to Apr 1, 2017
      • Accounts · 6 to 5
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 12 to 11
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 26 to 27
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.5B to $1.4B
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $98.9M to $4.3M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.6B to $1.4B
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 4 to 6
        Sep 3, 2014 to Mar 31, 2015
      • Advisory employees · 15 to 12
        Sep 3, 2014 to Mar 31, 2015
      • Employees · 27 to 26
        Sep 3, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.5B to $1.5B
        Sep 3, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $111M to $98.9M
        Sep 3, 2014 to Mar 31, 2015
      Signals
      4 dated events
      • Ray David Reedy (Executive Officer) no longer on Schedule A of R•••••• R••••••••• I••••••••• A••••••• L•• (listed 2020-03-30, absent 2021-03-29)
        Mar 29, 2021 · Control person left · inference
      • Bernard Frize (Chief Compliance Officer) appeared on Schedule A of R•••••• R••••••••• I••••••••• A••••••• L••
        Jun 18, 2019 · Control person joined · fact
      • Michael Glenn Mcintyre (Executive Officer) no longer on Schedule A of R•••••• R••••••••• I••••••••• A••••••• L•• (listed 2018-03-31, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • R•••••• R••••••••• I••••••••• A••••••• L•• reported RAUM $849.0M, down 35% from $1.3B (2017-04-01 to 2018-03-31)
        Mar 31, 2018 · 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
      Across the graphs

      R•••••• R••••••••• I••••••••• A••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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