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
A•••• A••••• L••
Latest filing Jan 31, 2025
First filing on the tape Dec 21, 2017 · 18 filings
SEC status approved since Jan 25, 2018
RAUM
$194M
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
97%
$188M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$194M as of Jan 31, 2025
Mar 15, 2019$119M then
HNW client RAUM$134M as of Jan 31, 2025
Mar 15, 2019$98.2M then
State-registered IARs (5.B.3)1 as of Jan 31, 2025
Mar 15, 20191 then
Employees (5.A)2 as of Jan 31, 2025
Mar 15, 20191 then
Private funds: no history
RAUM +3.3% over the last fiscal year-5.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 31, 2025; every figure names its basis
- RAUM per advisor
- $194MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.4MderivedHNW RAUM over HNW clients
- Average account
- $900,206derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 67%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- High-net-worth individuals$134M69%
- Individuals$55.0M28%
- Pension and profit-sharing plans$6.0M3.1%
- Individual clients
- 91reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 216reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- L•••• C••••••••• A••••••• to B••••• P••••• A•••••••• L••Sep 12, 2025 · RIA to RIA
Joined, latest
- L•••• C••••••••• A••••••• from R•• C•••••• M••••••• L••Mar 29, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• L••••• C••••••••• · Managing Member, Principal And Chief Compliance Officercontrolsince 12/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Palm Beach Gardens, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Jericho, NY1 employees
What changed
consecutive filings, newest first
- HQ city · unset to Oct 9, 2024 to Jan 31, 2025
- Accounts · 218 to 216Oct 9, 2024 to Jan 31, 2025
- Corporate clients · 5.0 to unsetOct 9, 2024 to Jan 31, 2025
- HNW clients · 26 to 10Oct 9, 2024 to Jan 31, 2025
- Individual clients · 66 to 91Oct 9, 2024 to Jan 31, 2025
- HQ state · unset to Oct 9, 2024 to Jan 31, 2025
- Discretionary RAUM · $105M to $130MOct 9, 2024 to Jan 31, 2025
- HNW RAUM · $159M to $134MOct 9, 2024 to Jan 31, 2025
- Individual RAUM · $21.2M to $55.0MOct 9, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $83.3M to $64.2MOct 9, 2024 to Jan 31, 2025
- Pension RAUM · $4.7M to $6.0MOct 9, 2024 to Jan 31, 2025
- RAUM · $188M to $194MOct 9, 2024 to Jan 31, 2025
- Accounts · 300 to 218Nov 9, 2023 to Jan 26, 2024
- Corporate clients · unset to 5.0Nov 9, 2023 to Jan 26, 2024
- HNW clients · 20 to 26Nov 9, 2023 to Jan 26, 2024
- Individual clients · 101 to 66Nov 9, 2023 to Jan 26, 2024
- Discretionary RAUM · $56.6M to $105MNov 9, 2023 to Jan 26, 2024
- HNW RAUM · $146M to $159MNov 9, 2023 to Jan 26, 2024
- Individual RAUM · $22.0M to $21.2MNov 9, 2023 to Jan 26, 2024
- Non-discretionary RAUM · $114M to $83.3MNov 9, 2023 to Jan 26, 2024
- Pension RAUM · $3.0M to $4.7MNov 9, 2023 to Jan 26, 2024
- RAUM · $171M to $188MNov 9, 2023 to Jan 26, 2024
- Accounts · 274 to 300Mar 21, 2022 to Feb 8, 2023
- HNW clients · 40 to 20Mar 21, 2022 to Feb 8, 2023
- Individual clients · 62 to 101Mar 21, 2022 to Feb 8, 2023
- Pension plan clients · 1.0 to unsetMar 21, 2022 to Feb 8, 2023
- Financial planning clients · 1-10 to 0Mar 21, 2022 to Feb 8, 2023
- HQ city · JERICHO to unsetMar 21, 2022 to Feb 8, 2023
- HQ state · NY to unsetMar 21, 2022 to Feb 8, 2023
- Discretionary RAUM · $95.7M to $56.6MMar 21, 2022 to Feb 8, 2023
- HNW RAUM · $176M to $146MMar 21, 2022 to Feb 8, 2023
- Individual RAUM · $50.3M to $22.0MMar 21, 2022 to Feb 8, 2023
- Non-discretionary RAUM · $132M to $114MMar 21, 2022 to Feb 8, 2023
- Pension RAUM · $1.4M to $3.0MMar 21, 2022 to Feb 8, 2023
- RAUM · $228M to $171MMar 21, 2022 to Feb 8, 2023
- Accounts · 251 to 274Oct 22, 2021 to Mar 21, 2022
- HNW clients · 21 to 40Oct 22, 2021 to Mar 21, 2022
- Individual clients · 39 to 62Oct 22, 2021 to Mar 21, 2022
- Pension plan clients · unset to 1.0Oct 22, 2021 to Mar 21, 2022
- Other offices · 0 to 1Oct 22, 2021 to Mar 21, 2022
Signals
3 dated events
- A•••• A••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $194.4M)Dec 20, 2025 · Left the SEC roster · derived
- L•••• C••••••••• A••••••• left A•••• A••••• L•• for B••••• P••••• A•••••••• L•• (registered 2025-08-29)Sep 12, 2025 · Advisor changed firm · fact
- A•••• A•••• filed its initial SEC registration (Form ADV)Dec 21, 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.
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