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
C•••• W••••• M••••••••• L••
Latest filing Jun 8, 2020
First filing on the tape Mar 27, 2015 · 22 filings
RAUM
$9.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$9.2M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$2.3M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$9.2M as of Mar 31, 2020
Mar 22, 2016$11.6M then
HNW client RAUM$7.6M as of Mar 31, 2020
Mar 31, 2018$11.9M then
State-registered IARs (5.B.3)3 as of Mar 31, 2020
Mar 22, 20162 then
Employees (5.A)5 as of Mar 31, 2020
Mar 22, 20162 then
Private funds: no history
RAUM -8.0% over the last fiscal year-4.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 8, 2020; every figure names its basis
- RAUM per advisor
- $2.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $186,059derivedHNW RAUM over HNW clients
- Average account
- $102,737derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$7.6M83%
- Individuals$1.6M17%
- Corporations and businesses$180.0%
- Individual clients
- 37reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 90reported
- Financial planning clients
- 0reported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J••••• R•••••• | Garden City, Ny | Aug 31, 2021 | 31 y | 6 |
| B•••• M•••••• K••••• | Garden City, Ny | Aug 31, 2021 | 33 y | 2 |
| S•••• D•••• W•••••• | Garden City, Ny | Aug 31, 2021 | 32 y | 6 |
| S•••••• M••• K••••• | Garden City, Ny | Oct 26, 2021 | 21 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S•••• D•••• W•••••• from L••••• F•••••••• M•••••••••May 21, 2018 · Other
- S•••••• M••• K••••• from W•••••••• F•••••••• G••••• I•••Oct 13, 2016 · Other
- R•••••• J••••• R•••••• from N•••••• C•••• A•••• M•••••••••Mar 22, 2016 · Other
- B•••• M•••••• K••••• from W•••••••• F•••••••• G••••• I•••May 14, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••••••• F•••••••• G••••• I•••Mar 31, 2015 · Westbury, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• B••••• M•••••• · Chief Executive Officer/Managing Member/Portfolio Managercontrolsince 11/2014 · owns less than 5%
- K•••••• S••••••• M••• · Chief Compliance Officercontrolsince 08/2016 · owns less than 5%
- K•••••• B••••• M•••••• · Membercontrolsince 11/2014 · owns 25% to 50% of C•••• A•••• H••••••• L••
- K•••••• S••••••• M••• · Membercontrolsince 11/2014 · owns 25% to 50% of C•••• A•••• H••••••• L••
Entity owners
- C•••• A•••• H••••••• L•• · Owner Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••• C•••••• M••••••••• L••broker-dealerreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Garden City, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 78 to 90Mar 29, 2019 to Mar 31, 2020
- Advisory employees · 4 to 3Mar 29, 2019 to Mar 31, 2020
- BD registered reps · 4 to 5Mar 29, 2019 to Mar 31, 2020
- Corporate clients · 2 to 1Mar 29, 2019 to Mar 31, 2020
- HNW clients · 46 to 41Mar 29, 2019 to Mar 31, 2020
- Individual clients · 30 to 37Mar 29, 2019 to Mar 31, 2020
- Discretionary RAUM · $10.1M to $9.2MMar 29, 2019 to Mar 31, 2020
- HNW RAUM · $8.6M to $7.6MMar 29, 2019 to Mar 31, 2020
- Individual RAUM · $1.3M to $1.6MMar 29, 2019 to Mar 31, 2020
- RAUM · $10.1M to $9.2MMar 29, 2019 to Mar 31, 2020
- Accounts · 86 to 78Mar 31, 2018 to Mar 29, 2019
- Individual clients · 38 to 30Mar 31, 2018 to Mar 29, 2019
- Employees · 4 to 5Mar 31, 2018 to Mar 29, 2019
- Discretionary RAUM · $14.7M to $10.1MMar 31, 2018 to Mar 29, 2019
- HNW RAUM · $11.9M to $8.6MMar 31, 2018 to Mar 29, 2019
- Individual RAUM · $2.7M to $1.3MMar 31, 2018 to Mar 29, 2019
- RAUM · $14.7M to $10.1MMar 31, 2018 to Mar 29, 2019
- Accounts · 90 to 86Mar 31, 2017 to Mar 31, 2018
- Advisory employees · 3 to 4Mar 31, 2017 to Mar 31, 2018
- Advisory activities · 2 to 3Mar 31, 2017 to Mar 31, 2018
- BD registered reps · 3 to 4Mar 31, 2017 to Mar 31, 2018
- Corporate clients · unset to 2.0Mar 31, 2017 to Mar 31, 2018
- HNW clients · unset to 46.0Mar 31, 2017 to Mar 31, 2018
- Individual clients · unset to 38.0Mar 31, 2017 to Mar 31, 2018
- Employees · 3 to 4Mar 31, 2017 to Mar 31, 2018
- Other offices · unset to 1.0Mar 31, 2017 to Mar 31, 2018
- Discretionary RAUM · $10.5M to $14.7MMar 31, 2017 to Mar 31, 2018
- HNW RAUM · unset to 11923870.0Mar 31, 2017 to Mar 31, 2018
- Individual RAUM · unset to 2656181.0Mar 31, 2017 to Mar 31, 2018
- RAUM · $10.5M to $14.7MMar 31, 2017 to Mar 31, 2018
- Accounts · 66 to 90Feb 3, 2017 to Mar 31, 2017
- Insurance-licensed employees · 2 to 0Feb 3, 2017 to Mar 31, 2017
- State-registered IARs · 2 to 3Feb 3, 2017 to Mar 31, 2017
- Discretionary RAUM · $10.6M to $10.5MFeb 3, 2017 to Mar 31, 2017
- RAUM · $10.6M to $10.5MFeb 3, 2017 to Mar 31, 2017
- Accounts · 54 to 66Mar 22, 2016 to Aug 23, 2016
- Advisory employees · 2 to 3Mar 22, 2016 to Aug 23, 2016
- BD registered reps · 2 to 3Mar 22, 2016 to Aug 23, 2016
- Employees · 2 to 3Mar 22, 2016 to Aug 23, 2016
- Insurance-licensed employees · 0 to 2Mar 22, 2016 to Aug 23, 2016
Signals
1 dated events
- C•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 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
- $2.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026