DFX Intelligence

RIA Intelligence

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SEC-registered adviser

E•••• A•••• M••••••••• L•••

No RAUM reportedNassau, CRD 166707SEC 801-77683IAPD
Latest filing Apr 2, 2026
First filing on the tape Feb 21, 2013 · 19 filings
SEC status approved since Feb 27, 2013
RAUM
$0
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$0 as of Apr 2, 2026
Jan 6, 2014$0 then
HNW client RAUM$0 as of Apr 2, 2026
Apr 2, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 2, 2026
Jan 6, 20143 then
Employees (5.A)6 as of Apr 2, 2026
Jan 6, 20145 then
Private funds: 1
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 2026; 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 individuals, portfolio management for businesses and institutionsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••• M•• F••• L•••no longer reportedSecuritized Asset Fund$00Feb 21, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• A••••••• R••••• · President, Chief Executive Officercontrol
        since 02/2013 · owns 10% to 25%
      • K••••••• M••••••• T•••• · Chief Compliance Officercontrol
        since 12/2017 · owns less than 5%
      • A••••••• E•••••••• M••• · Shareholdercontrol
        since 08/1992 · owns 50% to 75% of E• H••••••• L•••
      • F•••••••• A••••••• R••••• · Shareholdercontrol
        since 02/2013 · owns 25% to 50% of E• H••••••• L•••
      Entity owners
      • E• H••••••• L••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A••••••• K•••••• • C••
        n
      • C••• S••••••••• L••••••
        broker-dealern
      • C••••• F•••••••• A••••••• L••••••
        investment adviserLP sponsorn
      • C••••• G•••••• I•••••••• A••••• L••••••
        real estaten
      • C••••• I•••••••• L••••••
        real estaten
      • S•• M•••••• C••••••• L•••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to
        Mar 20, 2024 to Feb 20, 2025
      • HQ state · unset to
        Mar 20, 2024 to Feb 20, 2025
      • Charity clients · unset to 0.0
        Mar 30, 2020 to Mar 29, 2021
      • Corporate clients · unset to 0.0
        Mar 30, 2020 to Mar 29, 2021
      • HNW clients · unset to 0.0
        Mar 30, 2020 to Mar 29, 2021
      • Individual clients · unset to 0.0
        Mar 30, 2020 to Mar 29, 2021
      • Pension plan clients · unset to 0.0
        Mar 30, 2020 to Mar 29, 2021
      • Pooled vehicle clients · unset to 0.0
        Mar 30, 2020 to Mar 29, 2021
      • Other offices · 1 to 0
        Apr 2, 2019 to Mar 30, 2020
      • Accounts · unset to 0.0
        Apr 2, 2018 to Apr 2, 2019
      • Insurance-licensed employees · 0 to 4
        Apr 2, 2018 to Apr 2, 2019
      • Discretionary RAUM · unset to 0.0
        Apr 2, 2018 to Apr 2, 2019
      • Non-discretionary RAUM · unset to 0.0
        Apr 2, 2018 to Apr 2, 2019
      • RAUM · unset to 0.0
        Apr 2, 2018 to Apr 2, 2019
      • Other offices · unset to 1.0
        Apr 3, 2017 to Feb 23, 2018
      • HNW RAUM · unset to 0.0
        Apr 3, 2017 to Feb 23, 2018
      • Individual RAUM · unset to 0.0
        Apr 3, 2017 to Feb 23, 2018
      • Pension RAUM · unset to 0.0
        Apr 3, 2017 to Feb 23, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Apr 3, 2017 to Feb 23, 2018
      • Accounts · 0.0 to unset
        Mar 31, 2015 to Apr 15, 2016
      • Advisory activities · 3 to 2
        Mar 31, 2015 to Apr 15, 2016
      • BD registered reps · 3 to 0
        Mar 31, 2015 to Apr 15, 2016
      • Employees · 5 to 6
        Mar 31, 2015 to Apr 15, 2016
      • State-registered IARs · 3 to 0
        Mar 31, 2015 to Apr 15, 2016
      • Discretionary RAUM · 0.0 to unset
        Mar 31, 2015 to Apr 15, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Mar 31, 2015 to Apr 15, 2016
      • RAUM · 0.0 to unset
        Mar 31, 2015 to Apr 15, 2016
      • Business name · C••• S••••••••• I••••••••• L••• to E•••• A•••• M••••••••• L•••
        Jan 6, 2014 to Mar 31, 2015
      • Legal name · C••• S••••••••• I••••••••• L••• to E•••• A•••• M••••••••• L•••
        Jan 6, 2014 to Mar 31, 2015
      • Private funds · 1 to unset
        Jan 6, 2014 to Mar 31, 2015
      • Assets in custody · 0.0 to unset
        May 30, 2013 to Jan 6, 2014
      • State-registered IARs · 0 to 3
        May 30, 2013 to Jan 6, 2014
      Signals
      1 dated events
      • C••• S••••••••• I••••••••• L••• filed its initial SEC registration (Form ADV)
        Feb 21, 2013 · 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      242-502-7031reportedpublic record, Form ADV, Mar 20, 2024
      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
      No RAUM reportedderiveda 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