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

S•••••• O• A••••• W••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 285925SEC 801-108717IAPD
Latest filing Jul 21, 2020
First filing on the tape Nov 16, 2016 · 16 filings
RAUM
$675M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$675M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$675M as of Mar 23, 2020
Mar 29, 2018$526M then
HNW client RAUM$494M as of Mar 23, 2020
Mar 29, 2018$354M then
State-registered IARs (5.B.3)8 as of Mar 23, 2020
Mar 29, 20187 then
Employees (5.A)18 as of Mar 23, 2020
Mar 29, 201817 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 7 to 8
Practice profile
derived from the filing of Jul 21, 2020; every figure names its basis
RAUM per advisor
$84.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
93derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$292,029derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$675MreportedItem 5.I
Custody
$116M, 339 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
  • is an insurance broker or agent (6.A.6)
  • 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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$494M73%
  • Individuals$182M27%
Individual clients
540reported
HNW clients
205reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,313reported
Financial planning clients
251-500reported
Wrap fee programs
$461,468 sponsored, $0 managedreported
Custody of client assets
$116M for 339 clientsreported
Compensation
% of AUM, fixedreported
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••••• C••••••••• S•• · Membercontrol
      since 01/2017 · owns 25% to 50%
    • H•••••• C•••••• · Member, Ccocontrol
      since 01/2017 · owns 25% to 50%
    • W••••• M••••••• A•••••••• · Membercontrol
      since 01/2017 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    • S•••••• O• A••••• I•••••••• S•••••••• L••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    • White Plains, NY1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 2,134 to 2,313
      May 24, 2019 to Mar 23, 2020
    • HNW clients · 178 to 205
      May 24, 2019 to Mar 23, 2020
    • Individual clients · 514 to 540
      May 24, 2019 to Mar 23, 2020
    • Assets in custody · $10.9M to $116M
      May 24, 2019 to Mar 23, 2020
    • Employees · 16 to 18
      May 24, 2019 to Mar 23, 2020
    • State-registered IARs · 7 to 8
      May 24, 2019 to Mar 23, 2020
    • Discretionary RAUM · $548M to $648M
      May 24, 2019 to Mar 23, 2020
    • HNW RAUM · $395M to $494M
      May 24, 2019 to Mar 23, 2020
    • Individual RAUM · $176M to $182M
      May 24, 2019 to Mar 23, 2020
    • Non-discretionary RAUM · $22.7M to $27.7M
      May 24, 2019 to Mar 23, 2020
    • RAUM · $571M to $675M
      May 24, 2019 to Mar 23, 2020
    • Wrap assets (sponsor) · $119,174 to $461,468
      May 24, 2019 to Mar 23, 2020
    • Accounts · 1,972 to 2,134
      Jul 18, 2018 to Mar 22, 2019
    • HNW clients · 161 to 178
      Jul 18, 2018 to Mar 22, 2019
    • Individual clients · 492 to 514
      Jul 18, 2018 to Mar 22, 2019
    • Assets in custody · $7.6M to $10.9M
      Jul 18, 2018 to Mar 22, 2019
    • Employees · 17 to 16
      Jul 18, 2018 to Mar 22, 2019
    • Discretionary RAUM · $505M to $548M
      Jul 18, 2018 to Mar 22, 2019
    • HNW RAUM · $354M to $395M
      Jul 18, 2018 to Mar 22, 2019
    • Individual RAUM · $172M to $176M
      Jul 18, 2018 to Mar 22, 2019
    • Non-discretionary RAUM · $20.4M to $22.7M
      Jul 18, 2018 to Mar 22, 2019
    • RAUM · $526M to $571M
      Jul 18, 2018 to Mar 22, 2019
    • Wrap assets (sponsor) · $104,000 to $119,174
      Jul 18, 2018 to Mar 22, 2019
    • Accounts · 1,874 to 1,972
      Sep 29, 2017 to Mar 29, 2018
    • Advisory employees · 8 to 9
      Sep 29, 2017 to Mar 29, 2018
    • HNW clients · unset to 161.0
      Sep 29, 2017 to Mar 29, 2018
    • Individual clients · unset to 492.0
      Sep 29, 2017 to Mar 29, 2018
    • Employees · 15 to 17
      Sep 29, 2017 to Mar 29, 2018
    • Financial planning clients · 0 to 251-500
      Sep 29, 2017 to Mar 29, 2018
    • Other offices · unset to 1.0
      Sep 29, 2017 to Mar 29, 2018
    • Discretionary RAUM · $481M to $505M
      Sep 29, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 353540914.0
      Sep 29, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 172268998.0
      Sep 29, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $15.3M to $20.4M
      Sep 29, 2017 to Mar 29, 2018
    • RAUM · $497M to $526M
      Sep 29, 2017 to Mar 29, 2018
    • Wrap assets (manager) · unset to 0.0
      Sep 29, 2017 to Mar 29, 2018
    • Wrap assets (sponsor) · unset to 104000.0
      Sep 29, 2017 to Mar 29, 2018
    • Accounts · 1,437 to 1,874
      Feb 21, 2017 to Sep 29, 2017
    • Assets in custody · unset to 7637000.0
      Feb 21, 2017 to Sep 29, 2017
    • Custody of client assets · false to true
      Feb 21, 2017 to Sep 29, 2017
    Signals
    1 dated events
    • S•••••• O• A••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
      Nov 16, 2016 · 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