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RIA Intelligence

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Former SEC-registered adviser

G•••••• C•••••• M••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 16736SEC 801-25646IAPD

Latest filing Feb 24, 2017

First filing on the tape Mar 30, 2012 · 9 filings

RAUM

$108M

reported, Item 5.F

Discretionary

92%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM$108M as of Feb 24, 2017

Mar 30, 2012$116M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Feb 24, 2017

Mar 30, 20120 then

Employees (5.A)3 as of Feb 24, 2017

Mar 15, 20132 then

Private funds: no history

RAUM -14% over the last fiscal year+4.6% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 24, 2017; 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: $863,200derivedRAUM over accounts (5.F.2.f)
Discretionary: 92%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: -14%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 individualsreportedItem 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)

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: 125reported
Financial planning clients: n/areported
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

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• K••••••• P•••• · Chief Compliance Officercontrol
since 11/2014 · owns less than 5%
G••••••• N•••• I•• · President & Directorcontrol
since 12/1985 · owns 75% or more

Related persons

Schedule D 7.A

K•••••• P•••• B•••••
y

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 134 to 125
Mar 31, 2016 to Feb 24, 2017
Advisory activities · 2 to 1
Mar 31, 2016 to Feb 24, 2017
Discretionary RAUM · $116M to $99.0M
Mar 31, 2016 to Feb 24, 2017
Non-discretionary RAUM · $10.0M to $8.9M
Mar 31, 2016 to Feb 24, 2017
RAUM · $126M to $108M
Mar 31, 2016 to Feb 24, 2017
Financial planning clients · 0 to unset
Jan 4, 2016 to Mar 14, 2016
Discretionary RAUM · $116M to $116M
Jan 4, 2016 to Mar 14, 2016
Non-discretionary RAUM · $10.4M to $10.0M
Jan 4, 2016 to Mar 14, 2016
RAUM · $126M to $126M
Jan 4, 2016 to Mar 14, 2016
Discretionary RAUM · $152M to $116M
Mar 2, 2015 to Jan 4, 2016
Non-discretionary RAUM · $12.1M to $10.4M
Mar 2, 2015 to Jan 4, 2016
RAUM · $165M to $126M
Mar 2, 2015 to Jan 4, 2016
Accounts · 96 to 134
Dec 5, 2014 to Mar 2, 2015
BD registered reps · 2 to 1
Dec 5, 2014 to Mar 2, 2015
Employees · 2 to 3
Dec 5, 2014 to Mar 2, 2015
State-registered IARs · 1 to 0
Dec 5, 2014 to Mar 2, 2015
Discretionary RAUM · $83.9M to $152M
Dec 5, 2014 to Mar 2, 2015
Non-discretionary RAUM · $10.5M to $12.1M
Dec 5, 2014 to Mar 2, 2015
RAUM · $94.4M to $165M
Dec 5, 2014 to Mar 2, 2015
Accounts · 90 to 96
Mar 15, 2013 to Mar 31, 2014
Discretionary RAUM · $81.1M to $83.9M
Mar 15, 2013 to Mar 31, 2014
Non-discretionary RAUM · $6.4M to $10.5M
Mar 15, 2013 to Mar 31, 2014
RAUM · $87.4M to $94.4M
Mar 15, 2013 to Mar 31, 2014
Accounts · 118 to 90
Mar 30, 2012 to Mar 15, 2013
Advisory employees · unset to 1.0
Mar 30, 2012 to Mar 15, 2013
BD registered reps · unset to 2.0
Mar 30, 2012 to Mar 15, 2013
Employees · unset to 2.0
Mar 30, 2012 to Mar 15, 2013
State-registered IARs · 0 to 1
Mar 30, 2012 to Mar 15, 2013
Discretionary RAUM · $104M to $81.1M
Mar 30, 2012 to Mar 15, 2013
Non-discretionary RAUM · $11.2M to $6.4M
Mar 30, 2012 to Mar 15, 2013
RAUM · $116M to $87.4M
Mar 30, 2012 to Mar 15, 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