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

S•••••• I••••••••• A•••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 169231SEC 801-81100IAPD
Latest filing Jun 29, 2017
First filing on the tape Jan 27, 2014 · 23 filings
RAUM
$57.3M
reported, Item 5.F
Discretionary
100%
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$57.3M as of Mar 30, 2017
Mar 31, 2015$36.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2017
Mar 31, 20155 then
Employees (5.A)5 as of Mar 30, 2017
Mar 31, 20157 then
Private funds: no history
RAUM +81% over the last fiscal yearIARs 5 to 2
Practice profile
derived from the filing of Jun 29, 2017; every figure names its basis
RAUM per advisor
$28.6MderivedRAUM 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
$3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+81%derivedbetween the last two annual amendments
Advisor growth, one year
-60%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • 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
16reported
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R••••• A•••••• H•••• · President, Financial Officercontrol
      since 12/2016 · owns less than 5%
    • G•••••• G•••••• E•••••• · Ownercontrol
      since 12/2016 · owns 25% to 50% of S•••••• Financial Corp
    • B•••• R•••••• R••• · Cco
      since 06/2017 · owns less than 5%
    • M••••• M•••• P•••• · Chief Investment Officer
      since 02/2017 · owns less than 5%
    Entity owners
    • S•••••• F•••••••• C••••••••• · Public Holding Company
      direct · owns 75% or more · public reporting company
    • K•••••• C•••• A••••••••• L•• · Owner
      indirect · owns 75% or more of S•••••• F•••••••• C•••••••••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Boca Raton, FL
    What changed
    consecutive filings, newest first
    • Accounts · 15 to 16
      Mar 3, 2017 to Mar 30, 2017
    • Advisory employees · 4 to 3
      Mar 3, 2017 to Mar 30, 2017
    • Employees · 6 to 5
      Mar 3, 2017 to Mar 30, 2017
    • HQ city · JERSEY CITY to NEW YORK
      Mar 3, 2017 to Mar 30, 2017
    • HQ state · NJ to NY
      Mar 3, 2017 to Mar 30, 2017
    • Discretionary RAUM · $6.7M to $57.3M
      Mar 3, 2017 to Mar 30, 2017
    • Non-discretionary RAUM · $24.9M to $0
      Mar 3, 2017 to Mar 30, 2017
    • RAUM · $31.6M to $57.3M
      Mar 3, 2017 to Mar 30, 2017
    • Advisory employees · 5 to 4
      Dec 16, 2016 to Mar 3, 2017
    • BD registered reps · 5 to 4
      Dec 16, 2016 to Mar 3, 2017
    • Employees · 5 to 6
      Dec 16, 2016 to Mar 3, 2017
    • HQ city · NEW YORK to JERSEY CITY
      Dec 16, 2016 to Mar 3, 2017
    • HQ state · NY to NJ
      Dec 16, 2016 to Mar 3, 2017
    • State-registered IARs · 5 to 2
      Dec 16, 2016 to Mar 3, 2017
    • Advisory employees · 3 to 5
      Dec 9, 2015 to Mar 29, 2016
    • Accounts · 12 to 15
      Dec 9, 2015 to Mar 29, 2016
    • Discretionary RAUM · $5.5M to $6.7M
      Dec 9, 2015 to Mar 29, 2016
    • Non-discretionary RAUM · $27.0M to $24.9M
      Dec 9, 2015 to Mar 29, 2016
    • RAUM · $32.6M to $31.6M
      Dec 9, 2015 to Mar 29, 2016
    • Advisory employees · 5 to 3
      Nov 9, 2015 to Dec 8, 2015
    • BD registered reps · 7 to 5
      Nov 9, 2015 to Dec 8, 2015
    • Employees · 7 to 5
      Nov 9, 2015 to Dec 8, 2015
    • State-registered IARs · 7 to 5
      Nov 9, 2015 to Dec 8, 2015
    • Discretionary RAUM · $4.5M to $5.5M
      Aug 10, 2015 to Sep 17, 2015
    • Non-discretionary RAUM · $34.8M to $27.0M
      Aug 10, 2015 to Sep 17, 2015
    • RAUM · $39.3M to $32.6M
      Aug 10, 2015 to Sep 17, 2015
    • Advisory activities · 3 to 2
      Jul 10, 2015 to Aug 10, 2015
    • State-registered IARs · 5 to 7
      Jul 10, 2015 to Aug 10, 2015
    • Discretionary RAUM · $5.4M to $4.5M
      Jul 10, 2015 to Aug 10, 2015
    • Non-discretionary RAUM · $30.9M to $34.8M
      Jul 10, 2015 to Aug 10, 2015
    • RAUM · $36.3M to $39.3M
      Jul 10, 2015 to Aug 10, 2015
    • Advisory activities · 1 to 3
      Mar 31, 2015 to Mar 31, 2015
    • Financial planning clients · 1-10 to unset
      Mar 31, 2015 to Mar 31, 2015
    • Discretionary RAUM · $38.7M to $5.4M
      Mar 31, 2015 to Mar 31, 2015
    • Non-discretionary RAUM · $0 to $30.9M
      Mar 31, 2015 to Mar 31, 2015
    • RAUM · $38.7M to $36.3M
      Mar 31, 2015 to Mar 31, 2015
    • Accounts · unset to 12.0
      Jun 9, 2014 to Mar 3, 2015
    • Advisory employees · 3 to 5
      Jun 9, 2014 to Mar 3, 2015
    • Advisory activities · 2 to 1
      Jun 9, 2014 to Mar 3, 2015
    • BD registered reps · 6 to 7
      Jun 9, 2014 to Mar 3, 2015
    Signals
    1 dated events
    • S•••••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
      Mar 3, 2015 · 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