DFX Intelligence

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R•••• T•••• C•••••• A••••••• L••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $252M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2016-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $252M
RAUM change, 1 year: -29%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2016-03-25 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 25 Mar 2016, RAUM $357M to $252M (-29.3%) on the Form ADV filed 25 Mar 2016.

Every filed figure, and the identifiersCRD 169110 · SEC 801-78963 · 6 filingsShow

CRD 169110SEC 801-78963First filing on the tape Dec 11, 2013, latest Mar 25, 2016IAPD

RAUM

$252M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

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

6 filings and snapshots on the tape

RAUM -29% over the last fiscal year · the tape starts Dec 11, 2013

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$252M as of Mar 25, 2016

Mar 31, 2014$274M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 25, 2016

Mar 31, 20140 then

Employees (5.A)1 as of Mar 25, 2016

Mar 31, 20141 then

Private funds: no history

RAUM -29% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 25, 2016; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $252MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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 office incl. principal (1.F.5)
RAUM growth, one year: -29%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: portfolio management for businesses and institutions, 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

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

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K•••••••• Z•••••• · Managing Member; Presidentcontrol
since 05/2010 · 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

Discretionary RAUM · $357M to $252M
Jan 30, 2015 to Mar 25, 2016
RAUM · $357M to $252M
Jan 30, 2015 to Mar 25, 2016
HQ city · NEW YORK to unset
Mar 31, 2014 to Dec 12, 2014
HQ state · NY to unset
Mar 31, 2014 to Dec 12, 2014
Discretionary RAUM · $274M to $357M
Mar 31, 2014 to Dec 12, 2014

Full history · 11 changes

RAUM · $274M to $357M
Mar 31, 2014 to Dec 12, 2014
Accounts · unset to 1.0
Dec 11, 2013 to Mar 31, 2014
Advisory activities · 4 to 2
Dec 11, 2013 to Mar 31, 2014
Discretionary RAUM · unset to 273991067.0
Dec 11, 2013 to Mar 31, 2014
Non-discretionary RAUM · unset to 0.0
Dec 11, 2013 to Mar 31, 2014
RAUM · unset to 273991067.0
Dec 11, 2013 to Mar 31, 2014

Signals

1 dated events

••• Locked
Dec 11, 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026