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RIA Intelligence

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I••••••• A•••• M••••••••• I•••

Asset manager (funds and pooled vehicles)SEC-registered· New York, New Yorkwebsite

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $296M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$296M
Advisors
0
RAUM change, 1 year
-6.8%
Private clients
0.0%
of RAUM
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, 2 control persons joined and 2 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 285765 · SEC 801-109931 · 33 filingsShow
CRD 285765SEC 801-109931First filing on the tape Jan 25, 2017, latest Mar 27, 2026SEC status approved since Feb 8, 2017IAPD
RAUM
$296M
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
Not computed
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape

RAUM -9.0% a year over three years · the tape starts Jan 25, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$296M as of Mar 27, 2026
Mar 31, 2018$66.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 31, 20180 then
Employees (5.A)10 as of Mar 27, 2026
Mar 31, 20184 then
Private funds: no history
RAUM -6.8% over the last fiscal year-9.0% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$98.6MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-6.8%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$296M, 3 clientsreportedItem 9.A
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
  • 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 persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$296M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$296M for 3 clientsreported
Compensation
% of AUM, performancereported
Class basis
RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• J•••• N•• · Chief Executive Officercontrol
        since 02/2023 · owns less than 5%
      • P••••••• L•••• R•••••• · Directorcontrol
        since 07/2022 · owns less than 5%
      • S•••••••• M••••••• P• · Directorcontrol
        since 04/2015 · owns less than 5%
      • W••••••••• R•••••• F•••••• · Chief Compliance Officercontrol
        since 01/2024 · owns less than 5%
      • A•••••• C••••••• C•••••• · Ownercontrol
        since 09/2023 · owns 25% to 50% of A••••••• A••••• A•
      All 6 control persons
      • P••••••• L•••• R•••••• · Ownercontrol
        since 10/2006 · owns 75% or more of R••••• A•
      Entity owners
      • G••• E••••••• L•••••• · Owner
        direct · owns 75% or more
      • A••••••• A••••• A• · Owner
        indirect · owns 75% or more of G••• C•••••• A•
      • C•••••• H••••••• P•• L•••••• · Owner
        indirect · owns 25% to 50% of G••• E••••••• L••••••
      • G••• C•••••• A• · Owner
        indirect · owns 50% to 75% of G••• E••••••• L••••••
      • R••••• A• · Owner
        indirect · owns 25% to 50% of A••••••• A••••• A•
      All 7 entity owners
      • T•• D•••• F••••• T•••• · Owner
        indirect · owns 50% to 75% of C•••••• H••••••• P•• L••••••
      • E•••••• P•• L•• · Trustee
        indirect · owns 75% or more of T•• D•••• F••••• T••••
      Related persons
      Schedule D 7.A
      • I••••••• A•••• M••••••••• P•• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 3
        Nov 6, 2025 to Mar 27, 2026
      • Assets in custody · $317M to $296M
        Nov 6, 2025 to Mar 27, 2026
      • Employees · 5 to 10
        Nov 6, 2025 to Mar 27, 2026
      • Discretionary RAUM · $317M to $296M
        Nov 6, 2025 to Mar 27, 2026
      • Pooled vehicle RAUM · $317M to $296M
        Nov 6, 2025 to Mar 27, 2026
      Full history · 80 changes
      • RAUM · $317M to $296M
        Nov 6, 2025 to Mar 27, 2026
      • Advisory employees · 1 to 2
        Jul 24, 2025 to Nov 6, 2025
      • Employees · 2 to 5
        Jul 24, 2025 to Nov 6, 2025
      • Other offices · 0 to 1
        Jul 24, 2025 to Nov 6, 2025
      • Financial planning clients · unset to
        Mar 28, 2025 to Jul 24, 2025
      • Advisory employees · 2 to 1
        Jan 16, 2025 to Mar 28, 2025
      • Assets in custody · $358M to $317M
        Jan 16, 2025 to Mar 28, 2025
      • Discretionary RAUM · $358M to $317M
        Jan 16, 2025 to Mar 28, 2025
      • Pooled vehicle RAUM · $358M to $317M
        Jan 16, 2025 to Mar 28, 2025
      • RAUM · $358M to $317M
        Jan 16, 2025 to Mar 28, 2025
      • Assets in custody · $392M to $358M
        Nov 15, 2023 to Jan 30, 2024
      • Discretionary RAUM · $392M to $358M
        Nov 15, 2023 to Jan 30, 2024
      • Pooled vehicle RAUM · $392M to $358M
        Nov 15, 2023 to Jan 30, 2024
      • RAUM · $392M to $358M
        Nov 15, 2023 to Jan 30, 2024
      • Advisory employees · 3 to 2
        May 5, 2023 to Oct 6, 2023
      • Employees · 4 to 2
        May 5, 2023 to Oct 6, 2023
      • Related adviser · false to true
        May 5, 2023 to Oct 6, 2023
      • Assets in custody · $357M to $392M
        Dec 8, 2022 to Mar 30, 2023
      • Discretionary RAUM · $357M to $392M
        Dec 8, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $357M to $392M
        Dec 8, 2022 to Mar 30, 2023
      • RAUM · $357M to $392M
        Dec 8, 2022 to Mar 30, 2023
      • Assets in custody · $412M to $357M
        Jul 13, 2022 to Nov 25, 2022
      • Discretionary RAUM · $412M to $357M
        Jul 13, 2022 to Nov 25, 2022
      • Pooled vehicle RAUM · $412M to $357M
        Jul 13, 2022 to Nov 25, 2022
      • RAUM · $412M to $357M
        Jul 13, 2022 to Nov 25, 2022
      • Accounts · 4 to 3
        Jun 21, 2022 to Jul 13, 2022
      • Advisory activities · 3 to 2
        Jun 21, 2022 to Jul 13, 2022
      • Assets in custody · $415M to $412M
        Jun 21, 2022 to Jul 13, 2022
      • Discretionary RAUM · $415M to $412M
        Jun 21, 2022 to Jul 13, 2022
      • RAUM · $415M to $412M
        Jun 21, 2022 to Jul 13, 2022
      • Accounts · 5 to 4
        Jun 1, 2022 to Jun 21, 2022
      • Assets in custody · $427M to $415M
        Jun 1, 2022 to Jun 21, 2022
      • Discretionary RAUM · $430M to $415M
        Jun 1, 2022 to Jun 21, 2022
      • RAUM · $430M to $415M
        Jun 1, 2022 to Jun 21, 2022
      • Advisory employees · 4 to 3
        Mar 29, 2022 to Jun 1, 2022
      • Assets in custody · $678M to $427M
        Mar 29, 2022 to Jun 1, 2022
      • Employees · 9 to 4
        Mar 29, 2022 to Jun 1, 2022
      • Discretionary RAUM · $681M to $430M
        Mar 29, 2022 to Jun 1, 2022
      • Pooled vehicle RAUM · $638M to $412M
        Mar 29, 2022 to Jun 1, 2022
      • RAUM · $681M to $430M
        Mar 29, 2022 to Jun 1, 2022
      • Advisory employees · 5 to 4
        Mar 19, 2021 to Mar 29, 2022
      • Assets in custody · $107M to $678M
        Mar 19, 2021 to Mar 29, 2022
      • Discretionary RAUM · $579M to $681M
        Mar 19, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $538M to $638M
        Mar 19, 2021 to Mar 29, 2022
      • RAUM · $579M to $681M
        Mar 19, 2021 to Mar 29, 2022
      • Accounts · 3 to 5
        Jun 30, 2020 to Mar 19, 2021
      • Advisory activities · 2 to 3
        Jun 30, 2020 to Mar 19, 2021
      • Pooled vehicle clients · 1 to 2
        Jun 30, 2020 to Mar 19, 2021
      • Employees · 7 to 9
        Jun 30, 2020 to Mar 19, 2021
      • Discretionary RAUM · $114M to $579M
        Jun 30, 2020 to Mar 19, 2021
      • Pooled vehicle RAUM · $107M to $538M
        Jun 30, 2020 to Mar 19, 2021
      • RAUM · $114M to $579M
        Jun 30, 2020 to Mar 19, 2021
      • Accounts · 2 to 3
        Jan 27, 2020 to Mar 30, 2020
      • Assets in custody · $78.0M to $107M
        Jan 27, 2020 to Mar 30, 2020
      • Discretionary RAUM · $78.0M to $114M
        Jan 27, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $78.0M to $107M
        Jan 27, 2020 to Mar 30, 2020
      • RAUM · $78.0M to $114M
        Jan 27, 2020 to Mar 30, 2020
      • Advisory employees · 4 to 5
        Nov 20, 2018 to Mar 29, 2019
      • Assets in custody · $68.3M to $78.0M
        Nov 20, 2018 to Mar 29, 2019
      • Employees · 4 to 7
        Nov 20, 2018 to Mar 29, 2019
      • Discretionary RAUM · $68.3M to $78.0M
        Nov 20, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $68.3M to $78.0M
        Nov 20, 2018 to Mar 29, 2019
      • RAUM · $68.3M to $78.0M
        Nov 20, 2018 to Mar 29, 2019
      • Assets in custody · $66.3M to $68.3M
        Mar 31, 2018 to May 30, 2018
      • Discretionary RAUM · $66.3M to $68.3M
        Mar 31, 2018 to May 30, 2018
      • Pooled vehicle RAUM · $66.3M to $68.3M
        Mar 31, 2018 to May 30, 2018
      • RAUM · $66.3M to $68.3M
        Mar 31, 2018 to May 30, 2018
      • Accounts · 0 to 2
        Jun 13, 2017 to Mar 31, 2018
      • Advisory employees · 3 to 4
        Jun 13, 2017 to Mar 31, 2018
      • Advisory activities · 1 to 2
        Jun 13, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 1.0
        Jun 13, 2017 to Mar 31, 2018
      • Assets in custody · unset to 66300000.0
        Jun 13, 2017 to Mar 31, 2018
      • Custody of client assets · false to true
        Jun 13, 2017 to Mar 31, 2018
      • Employees · 3 to 4
        Jun 13, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Jun 13, 2017 to Mar 31, 2018
      Signals
      20 dated events
      • ••• Locked
        Mar 27, 2026 · ria indirect owner change · fact
      • ••• Locked
        Mar 27, 2026 · Control person left · inference
      • ••• Locked
        Mar 27, 2026 · Control person joined · fact
      • ••• Locked
        Mar 27, 2026 · Control person joined · fact
      • ••• Locked
        Mar 27, 2026 · Control person left · inference
      Full timeline · 20 events
      • ••• Locked
        Mar 27, 2026 · ria office opened · fact
      • ••• Locked
        Jan 30, 2024 · Control person joined · fact
      • ••• Locked
        Jan 30, 2024 · Control person left · inference
      • ••• Locked
        Nov 15, 2023 · Control person joined · fact
      • ••• Locked
        Oct 6, 2023 · Control person joined · fact
      • ••• Locked
        Oct 6, 2023 · Control person left · inference
      • ••• Locked
        Mar 30, 2023 · Control person joined · fact
      • ••• Locked
        Jul 13, 2022 · Control person left · inference
      • ••• Locked
        Jul 13, 2022 · Control person joined · fact
      • ••• Locked
        Jul 13, 2022 · Control person joined · fact
      • ••• Locked
        Jun 1, 2022 · Control person left · inference
      • ••• Locked
        Jun 1, 2022 · Control person joined · fact
      • ••• Locked
        Jun 1, 2022 · RAUM change · derived
      • ••• Locked
        Mar 19, 2021 · RAUM change · derived
      • ••• Locked
        Jan 25, 2017 · 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.