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

G••••

Former SEC-registered adviserCRD 174960SEC 801-96225IAPD
Legal name I••••• F••••••• I•••
Latest filing May 20, 2019
First filing on the tape Apr 24, 2015 · 22 filings
RAUM
$2.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.1M as of Mar 30, 2019
Mar 15, 2016$50,000 then
HNW client RAUM$800,000 as of Mar 30, 2019
Feb 7, 2018$923,056 then
State-registered IARs (5.B.3)1 as of Mar 30, 2019
Mar 15, 20161 then
Employees (5.A)7 as of Mar 30, 2019
Mar 15, 20166 then
Private funds: no history
RAUM -6.8% over the last fiscal year+248% a year over threeIARs 2 to 1
Practice profile
derived from the filing of May 20, 2019; every figure names its basis
RAUM per advisor
$2.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
865derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$266,667derivedHNW RAUM over HNW clients
Average account
$2,445derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.8%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+783%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$2.1MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.3M62%
  • High-net-worth individuals$800,00038%
Individual clients
862reported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
865reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
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
      • C••••• M••••••• P••• · Ceo/Chief Compliance Officercontrol
        since 02/2019 · owns 75% or more
      Related persons
      Schedule D 7.A
      • I• I•••••••• S•••••••• L••
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · NEW YORK to unset
        Mar 30, 2019 to Apr 16, 2019
      • HQ state · NY to unset
        Mar 30, 2019 to Apr 16, 2019
      • Accounts · 98 to 865
        Dec 19, 2018 to Mar 30, 2019
      • Advisory employees · 2 to 1
        Dec 19, 2018 to Mar 30, 2019
      • HNW clients · 2 to 3
        Dec 19, 2018 to Mar 30, 2019
      • Individual clients · 96 to 862
        Dec 19, 2018 to Mar 30, 2019
      • Employees · 10 to 7
        Dec 19, 2018 to Mar 30, 2019
      • State-registered IARs · 2 to 1
        Dec 19, 2018 to Mar 30, 2019
      • Discretionary RAUM · $2.3M to $2.1M
        Dec 19, 2018 to Mar 30, 2019
      • HNW RAUM · $923,056 to $800,000
        Dec 19, 2018 to Mar 30, 2019
      • Individual RAUM · $1.3M to $1.3M
        Dec 19, 2018 to Mar 30, 2019
      • RAUM · $2.3M to $2.1M
        Dec 19, 2018 to Mar 30, 2019
      • Accounts · 150 to 98
        Sep 28, 2017 to Feb 7, 2018
      • Business name · I••••• F••••••• I••• to G••••
        Sep 28, 2017 to Feb 7, 2018
      • HNW clients · unset to 2.0
        Sep 28, 2017 to Feb 7, 2018
      • Individual clients · unset to 96.0
        Sep 28, 2017 to Feb 7, 2018
      • Employees · 8 to 10
        Sep 28, 2017 to Feb 7, 2018
      • Other offices · unset to 0.0
        Sep 28, 2017 to Feb 7, 2018
      • Discretionary RAUM · $3.8M to $2.3M
        Sep 28, 2017 to Feb 7, 2018
      • HNW RAUM · unset to 923056.0
        Sep 28, 2017 to Feb 7, 2018
      • Individual RAUM · unset to 1346857.0
        Sep 28, 2017 to Feb 7, 2018
      • RAUM · $3.8M to $2.3M
        Sep 28, 2017 to Feb 7, 2018
      • Wrap assets (manager) · unset to 0.0
        Sep 28, 2017 to Feb 7, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Sep 28, 2017 to Feb 7, 2018
      • Accounts · 63 to 150
        Jan 5, 2017 to Feb 21, 2017
      • Advisory employees · 1 to 2
        Jan 5, 2017 to Feb 21, 2017
      • Employees · 6 to 8
        Jan 5, 2017 to Feb 21, 2017
      • State-registered IARs · 1 to 2
        Jan 5, 2017 to Feb 21, 2017
      • Discretionary RAUM · $50,000 to $3.8M
        Jan 5, 2017 to Feb 21, 2017
      • RAUM · $50,000 to $3.8M
        Jan 5, 2017 to Feb 21, 2017
      • Accounts · 0 to 63
        Nov 10, 2015 to Mar 15, 2016
      • Advisory employees · 4 to 1
        Nov 10, 2015 to Mar 15, 2016
      • Employees · 7 to 6
        Nov 10, 2015 to Mar 15, 2016
      • Discretionary RAUM · $0 to $50,000
        Nov 10, 2015 to Mar 15, 2016
      • RAUM · $0 to $50,000
        Nov 10, 2015 to Mar 15, 2016
      • Business name · I••••• F•••••• I•• to I••••• F••••••• I•••
        Aug 17, 2015 to Aug 20, 2015
      • Legal name · IMPACT DIRECTLY PBC to I••••• F••••••• I•••
        Aug 17, 2015 to Aug 20, 2015
      • Advisory employees · 1 to 4
        Jun 18, 2015 to Aug 17, 2015
      • Employees · 3 to 7
        Jun 18, 2015 to Aug 17, 2015
      • Legal name · I••••• F•••••• P•• to IMPACT DIRECTLY PBC
        Apr 24, 2015 to Apr 24, 2015
      Signals
      3 dated events
      • Nicole Jacqueline Reyes (Vice President And Director Of Partner Funds) no longer on Schedule A of Grand (listed 2018-12-19, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • F•••••••• G••••• S••••••••• (Chief Compliance Officer) no longer on Schedule A of Grand (listed 2018-12-19, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • I••••• F•••••• P•• filed its initial SEC registration (Form ADV)
        Apr 24, 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