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.

Former SEC-registered adviser

Banyan Global Investment Advisors, LLC

Former SEC-registered adviserBoca Raton, FloridaCRD 164526SEC 801-76863IAPD
Latest filing Mar 30, 2016
First filing on the tape Jun 26, 2012 · 11 filings
RAUM
$163M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$163M as of Mar 30, 2016
Apr 1, 2013$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2016
Apr 1, 20130 then
Employees (5.A)4 as of Mar 30, 2016
Apr 1, 20134 then
Private funds: no history
RAUM +0.0% over the last fiscal year+4.7% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$81.5MderivedRAUM 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
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
143reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Harry Daniel Reich · Managing Membercontrol
      since 03/2013 · owns 75% or more
    • Ann Lori Fernicola · Chief Compliance Officer/Director
      since 12/2015 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • State-registered IARs · 1 to 2
      Feb 3, 2016 to Mar 30, 2016
    • Succession · true to false
      Feb 3, 2016 to Mar 30, 2016
    • Succession · false to true
      Dec 22, 2015 to Feb 3, 2016
    • Advisory activities · 1 to 2
      Feb 20, 2015 to Dec 22, 2015
    • State-registered IARs · 0 to 1
      Feb 20, 2015 to Dec 22, 2015
    • Accounts · 111 to 143
      Aug 15, 2014 to Feb 20, 2015
    • Advisory employees · 1 to 2
      Aug 15, 2014 to Feb 20, 2015
    • Financial planning clients · unset to 0
      Aug 15, 2014 to Feb 20, 2015
    • Discretionary RAUM · $220M to $163M
      Aug 15, 2014 to Feb 20, 2015
    • RAUM · $220M to $163M
      Aug 15, 2014 to Feb 20, 2015
    • Advisory activities · 2 to 1
      Apr 1, 2013 to Feb 25, 2014
    • Discretionary RAUM · $142M to $220M
      Apr 1, 2013 to Feb 25, 2014
    • RAUM · $142M to $220M
      Apr 1, 2013 to Feb 25, 2014
    • Accounts · 92 to 111
      Oct 8, 2012 to Apr 1, 2013
    • Advisory employees · unset to 1.0
      Oct 8, 2012 to Apr 1, 2013
    • BD registered reps · unset to 0.0
      Oct 8, 2012 to Apr 1, 2013
    • Employees · unset to 4.0
      Oct 8, 2012 to Apr 1, 2013
    • State-registered IARs · unset to 0.0
      Oct 8, 2012 to Apr 1, 2013
    • Discretionary RAUM · $112M to $142M
      Oct 8, 2012 to Apr 1, 2013
    • RAUM · $112M to $142M
      Oct 8, 2012 to Apr 1, 2013
    • Related adviser · true to false
      Oct 8, 2012 to Apr 1, 2013
    • Related bank · true to false
      Oct 8, 2012 to Apr 1, 2013
    • Accounts · 0 to 92
      Jun 26, 2012 to Oct 8, 2012
    • Business name · BANYAN GLOBAL INVESTMENT STRATEGIES LLC to BANYAN GLOBAL INVESTMENT ADVISORS, LLC
      Jun 26, 2012 to Oct 8, 2012
    • Legal name · BANYAN GLOBAL INVESTMENT STRATEGIES LLC to BANYAN GLOBAL INVESTMENT ADVISORS, LLC
      Jun 26, 2012 to Oct 8, 2012
    • Discretionary RAUM · $0 to $112M
      Jun 26, 2012 to Oct 8, 2012
    • RAUM · $0 to $112M
      Jun 26, 2012 to Oct 8, 2012
    Signals
    2 dated events
    • Banyan Global Investment Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Feb 3, 2016 · Succession (Item 4) · fact
    • Banyan Global Investment Strategies Llc filed its initial SEC registration (Form ADV)
      Jun 26, 2012 · First SEC registration · 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