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

A•• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 171170SEC 801-80808IAPD
Latest filing Mar 30, 2016
First filing on the tape Dec 23, 2014 · 4 filings
RAUM
$296M
reported, Item 5.F
Discretionary
95%
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
14
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$296M as of Mar 30, 2016
Mar 31, 2015$314M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 31, 20157 then
Employees (5.A)14 as of Mar 30, 2016
Mar 31, 201514 then
Private funds: no history
RAUM -5.7% over the last fiscal yearIARs 7 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
$148MderivedRAUM over accounts (5.F.2.f)
Discretionary
95%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
-5.7%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
  • compensates non-employees for client referrals (8.G.2)
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
2reported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• S••••••• R••••• · President And Chief Executive Officercontrol
        since 03/2014 · owns less than 5%
      • K•••••• P••••• G••••• · Senior Vice President,Chief Financial Officercontrol
        since 03/2014 · owns less than 5%
      • M•••••• I••••• R••• · Chief Compliance Officer, Registered Investment Advisercontrol
        since 03/2015 · owns less than 5%
      • M•••••• G••••••• S•••• · Chief Investment Officer And Managing Directorcontrol
        since 01/2015 · owns less than 5%
      • S••••••••• A•••••• J••• · Senior Vice Presidentcontrol
        since 03/2014 · owns less than 5%
      • S••••••••• A•••••• R•••• · Chairman Of The Companycontrol
        since 03/2014 · owns less than 5%
      • N••••• M••••• S•••••• · Ownercontrol
        since 01/2015 · owns 75% or more of A•••••• I••••••••• M••••••••• C•••••••••
      Entity owners
      • A• R• S••••••••• • C••• I••• · Managing Member
        direct · owns 75% or more
      • A•••••• C••••••••• · Owner
        indirect · owns 75% or more of A•••••• U• C•••••••••
      • A•••••• I••••••••• M••••••••• C••••••••• · Owner
        indirect · owns 75% or more of A•••••• C•••••••••
      • A•••••• U• C••••••••• · Owner
        indirect · owns 75% or more of A•••••• U• I• L••
      • A•••••• U• I• L•• · Owner
        indirect · owns 75% or more of A• R• S••••••••• • C••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list A•• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 7
        Mar 31, 2015 to Mar 30, 2016
      • BD registered reps · 11 to 10
        Mar 31, 2015 to Mar 30, 2016
      • State-registered IARs · 7 to 0
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $291M to $281M
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $22.2M to $14.9M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $314M to $296M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 464 to 2
        Feb 5, 2015 to Mar 31, 2015
      • Advisory employees · 9 to 8
        Feb 5, 2015 to Mar 31, 2015
      • BD registered reps · 13 to 11
        Feb 5, 2015 to Mar 31, 2015
      • Employees · 20 to 14
        Feb 5, 2015 to Mar 31, 2015
      • Discretionary RAUM · $293M to $291M
        Feb 5, 2015 to Mar 31, 2015
      • Non-discretionary RAUM · $19.3M to $22.2M
        Feb 5, 2015 to Mar 31, 2015
      • RAUM · $312M to $314M
        Feb 5, 2015 to Mar 31, 2015
      Signals
      1 dated events
      • A•• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 23, 2014 · 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