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

B•••••••• F•••••••• P••••••• L••

Former SEC-registered adviserHoboken, New JerseyCRD 163967SEC 801-76694IAPD
Latest filing Mar 27, 2018
First filing on the tape May 10, 2012 · 9 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2018
Mar 14, 20131 then
Employees (5.A)2 as of Mar 27, 2018
Mar 14, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Mar 27, 2018; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planningreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
n/areported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
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
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
    • F•••••• V•••••••• L••••• · Managing Member And Chief Compliance Officercontrol
      since 09/2008 · owns 75% or more
    • K•••••• R••••••• H••••• · Member
      since 09/2008 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 1 to 2
      Apr 5, 2017 to Mar 27, 2018
    • State-registered IARs · 1 to 2
      Apr 5, 2017 to Mar 27, 2018
    • Other offices · unset to 0.0
      Apr 5, 2017 to Mar 27, 2018
    • Insurance-licensed employees · 1 to 0
      Mar 28, 2016 to Mar 13, 2017
    • Employees · 1 to 2
      Jun 15, 2015 to Mar 28, 2016
    • Insurance-licensed employees · 0 to 1
      Jun 15, 2015 to Mar 28, 2016
    • Advisory employees · 2 to 1
      Mar 26, 2015 to Jun 15, 2015
    • Employees · 2 to 1
      Mar 26, 2015 to Jun 15, 2015
    • State-registered IARs · 2 to 1
      Mar 26, 2015 to Jun 15, 2015
    • Insurance-licensed employees · 2 to 0
      Mar 17, 2014 to Mar 26, 2015
    • Advisory employees · 1 to 2
      Mar 14, 2013 to Mar 17, 2014
    • Employees · 1 to 2
      Mar 14, 2013 to Mar 17, 2014
    • Insurance-licensed employees · 1 to 2
      Mar 14, 2013 to Mar 17, 2014
    • Financial planning clients · 0 to 26-50
      Mar 14, 2013 to Mar 17, 2014
    • State-registered IARs · 1 to 2
      Mar 14, 2013 to Mar 17, 2014
    • Advisory employees · unset to 1.0
      May 10, 2012 to Mar 14, 2013
    • BD registered reps · unset to 0.0
      May 10, 2012 to Mar 14, 2013
    • Employees · unset to 1.0
      May 10, 2012 to Mar 14, 2013
    • State-registered IARs · unset to 1.0
      May 10, 2012 to Mar 14, 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