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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

A•••••• F•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 281512SEC 801-107040IAPD
Latest filing Apr 6, 2016
First filing on the tape Dec 5, 2015 · 4 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
9 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: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Apr 6, 2016
Dec 5, 20151 then
Employees (5.A)10 as of Apr 6, 2016
Dec 5, 201510 then
Private funds: no history
Practice profile
derived from the filing of Apr 6, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
0.9derived7 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
  • 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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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••••• R•••••• T••••• · Limited Partnercontrol
        since 03/2016 · owns 10% to 25%
      • C••••••• C•••• M•••••• · Limited Partnercontrol
        since 03/2016 · owns 10% to 25%
      • M•••••••• M••••••• A•••••• · Limited Partnercontrol
        since 03/2016 · owns 10% to 25%
      • P•••••••• D••••• J••••• · Limited Partner And Chief Compliance Officercontrol
        since 10/2015 · owns less than 5%
      • B•••••••• D••••• B••••••• · Limited Partner
        since 10/2015 · owns 5% to 10%
      Entity owners
      • A•••••• H•••••••• L•• · General Partner
        direct · owns less than 5%
      • C••••• C•••••••• F•••••••• A•••••••• L• · Limited Partner
        direct · owns 50% to 75%
      • C••••• C•••••••• • C••••••• L•• · Limited Partner
        indirect · owns 75% or more of C••••• C•••••••• F•••••••• A•••••••• L•
      • C••••• C•••••••• F•••••••• A•••••••• L• · Member
        indirect · owns 50% to 75% of A•••••• H•••••••• L••
      • C••••• C•••••••• H•••••• C••••••• L•• · General Partner
        indirect · owns F of C••••• C•••••••• F•••••••• A•••••••• L•
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Bethesda, MD
      • Livingston, NJ
      • Norwalk, CT
      • Philadelphia, PA
      • Plainview, NY
      • White Plains, NY
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 9
        Mar 4, 2016 to Apr 6, 2016
      • BD registered reps · 0 to 1
        Mar 4, 2016 to Apr 6, 2016
      • Employees · 7 to 10
        Mar 4, 2016 to Apr 6, 2016
      • Insurance-licensed employees · 4 to 7
        Mar 4, 2016 to Apr 6, 2016
      • State-registered IARs · 4 to 6
        Mar 4, 2016 to Apr 6, 2016
      • Advisory employees · 9 to 6
        Jan 19, 2016 to Mar 4, 2016
      • BD registered reps · 1 to 0
        Jan 19, 2016 to Mar 4, 2016
      • Employees · 10 to 7
        Jan 19, 2016 to Mar 4, 2016
      • Insurance-licensed employees · 1 to 4
        Jan 19, 2016 to Mar 4, 2016
      • State-registered IARs · 1 to 4
        Jan 19, 2016 to Mar 4, 2016
      Signals
      1 dated events
      • A•••••• F•••••••• L• filed its initial SEC registration (Form ADV)
        Dec 5, 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