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

D•••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 165848SEC 801-77280IAPD
Latest filing Feb 26, 2015
First filing on the tape Oct 16, 2012 · 10 filings
RAUM
$375M
reported, Item 5.F
Discretionary
0.0%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$375M as of Feb 26, 2015
Jan 30, 2013$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 26, 2015
Jan 30, 20130 then
Employees (5.A)3 as of Feb 26, 2015
Jan 30, 20133 then
Private funds: no history
RAUM +108% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 26, 2015; 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
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+108%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
175reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••• S•••• M•••••• · Chief Compliance Officercontrol
    since 10/2012 · owns 75% or more
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
  • Accounts · 60 to 175
    Mar 3, 2014 to Feb 26, 2015
  • Discretionary RAUM · $165M to $0
    Mar 3, 2014 to Feb 26, 2015
  • Non-discretionary RAUM · $15.0M to $375M
    Mar 3, 2014 to Feb 26, 2015
  • RAUM · $180M to $375M
    Mar 3, 2014 to Feb 26, 2015
  • Advisory activities · 4 to 5
    Feb 11, 2014 to Feb 24, 2014
  • Accounts · 265 to 60
    Jan 30, 2013 to Feb 11, 2014
  • Advisory employees · 1 to 2
    Jan 30, 2013 to Feb 11, 2014
  • Discretionary RAUM · $25.0M to $165M
    Jan 30, 2013 to Feb 11, 2014
  • Non-discretionary RAUM · $125M to $15.0M
    Jan 30, 2013 to Feb 11, 2014
  • RAUM · $150M to $180M
    Jan 30, 2013 to Feb 11, 2014
  • Accounts · 325 to 265
    Nov 20, 2012 to Jan 30, 2013
  • Advisory employees · unset to 1.0
    Oct 16, 2012 to Nov 19, 2012
  • BD registered reps · unset to 0.0
    Oct 16, 2012 to Nov 19, 2012
  • Employees · unset to 3.0
    Oct 16, 2012 to Nov 19, 2012
  • State-registered IARs · unset to 0.0
    Oct 16, 2012 to Nov 19, 2012
Signals
1 dated events
  • D•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 16, 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