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

R••••••••• L•••• L••• M••••••••• C•••••• L••

Former SEC-registered adviserRye Brook, New YorkCRD 171259SEC 801-79693IAPD
Latest filing Aug 3, 2016
First filing on the tape Apr 25, 2014 · 9 filings
RAUM
$59.0M
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
11
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$59.0M as of Feb 22, 2016
Mar 25, 2015$53.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 22, 2016
Mar 25, 20150 then
Employees (5.A)11 as of Feb 22, 2016
Mar 25, 201511 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 3, 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
$59.0MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year
+11%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 investment companiesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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
1reported
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
      • I••• B••••• S•••• · Chief Compliance Officercontrol
        since 08/2016 · owns less than 5%
      • K•••• D••••• J•• · Managercontrol
        since 04/2014 · owns less than 5%
      • L••••••••• R•••••• S••••• · Chief Financial Officercontrol
        since 01/2016 · owns less than 5%
      • D••••••••• J••••••• · Shareholdercontrol
        since 10/2013 · owns 75% or more of F•••• C•••••••••
      • J•••••• M•••• A••• · Limited Partnercontrol
        since 05/2013 · owns 50% to 75% of L•••• L••• H••••••• I• L•••
      Entity owners
      • F•••• C•••••• I••• · Member
        direct · owns 50% to 75%
      • L•••• L••• A••••••• L•• · Member
        direct · owns 50% to 75%
      • A•••••••• I••• · Shareholder
        indirect · owns 50% to 75% of F•••• Holdings, Inc
      • D••••••••• F•••••••• C••••••••• · Shareholder
        indirect · owns 25% to 50% of F•••• H•••••••• I•••
      • D•• C••••••• I••• · Shareholder
        indirect · owns 50% to 75% of A•••••••• I•••
      • F•••• C•••••• C••••••••• · Sole Shareholder
        indirect · owns 75% or more of F•••• U• H•••••• I•••
      • F•••• C••••••• L• · Shareholder
        indirect · owns 25% to 50% of F•••• C•••••• C•••••••••
      • F•••• C••••••••• · Shareholder
        indirect · owns 75% or more of F•••• I••••••••• I••.
      • F•••• H•••••••• I••• · General Partner
        indirect · owns 75% or more of F•••• C••••••• L•
      • F•••• I••••••••• I•• · Shareholder
        indirect · owns 75% or more of Djb Capital Inc.
      • F•••• U• H•••••• I••• · Sole Shareholder
        indirect · owns 75% or more of F•••• C•••••• I•••
      • L•••• L••• H••••••• G• L•• · General Partner
        indirect · owns F of L•••• L••• H••••••• I• L•••
      • L•••• L••• H••••••• I• L••• · Sole Member
        indirect · owns 75% or more of L•••• L••• A••••••• L••
      • N••••• I••••••••• M••••••••• · Shareholder
        indirect · owns 25% to 50% of F•••• C•••••• C•••••••••
      • N••••••• B••• O• C••••• · Shareholder
        indirect · owns 75% or more of N••••• I••••••••• M•••••••••
      Related persons
      Schedule D 7.A
      Advisers that list R••••••••• L•••• L••• M••••••••• C•••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 0 to 1
        Feb 22, 2016 to May 10, 2016
      • Discretionary RAUM · $53.0M to $59.0M
        Jan 6, 2016 to Feb 22, 2016
      • RAUM · $53.0M to $59.0M
        Jan 6, 2016 to Feb 22, 2016
      • Related broker-dealer · true to false
        Jun 29, 2015 to Jan 6, 2016
      • Accounts · 0 to 1
        Jul 29, 2014 to Mar 25, 2015
      • Discretionary RAUM · $0 to $53.0M
        Jul 29, 2014 to Mar 25, 2015
      • RAUM · $0 to $53.0M
        Jul 29, 2014 to Mar 25, 2015
      Signals
      1 dated events
      • R••••••••• L•••• L••• M••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Apr 25, 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