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••••••••• S••••••• I•••

Former SEC-registered adviserStamford, ConnecticutCRD 167160SEC 801-77730IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 4, 2013 · 6 filings
RAUM
$113M
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$113M as of Mar 30, 2016
Mar 28, 2014$117M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20140 then
Employees (5.A)5 as of Mar 30, 2016
Mar 28, 20145 then
Private funds: no history
RAUM -1.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
$113MderivedRAUM 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
-1.7%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-based, otherreportedItem 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
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
1reported
Financial planning clients
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• J••••• R••••• · Chairmancontrol
        since 01/2007 · owns 10% to 25%
      • C••••••• J••••••• · Chief Operating Officer And Ccocontrol
        since 01/2007 · owns 25% to 50%
      • K••••• J•••• R••••• · President And Ceocontrol
        since 01/2005 · owns 50% to 75%
      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
      • Non-discretionary RAUM · $115M to $113M
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $115M to $113M
        Mar 30, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $117M to $115M
        Mar 28, 2014 to Mar 30, 2015
      • RAUM · $117M to $115M
        Mar 28, 2014 to Mar 30, 2015
      • Advisory employees · 3 to 5
        Jul 24, 2013 to Mar 28, 2014
      • Employees · 3 to 5
        Jul 24, 2013 to Mar 28, 2014
      • Accounts · 0 to 1
        Jun 17, 2013 to Jul 24, 2013
      • Non-discretionary RAUM · $0 to $117M
        Jun 17, 2013 to Jul 24, 2013
      • RAUM · $0 to $117M
        Jun 17, 2013 to Jul 24, 2013
      Signals
      1 dated events
      • R••••••••• S••••••• I••• filed its initial SEC registration (Form ADV)
        Mar 4, 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.
      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