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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SEC-registered adviser
O•• S••• R••••••••• I••••••••• A•••••••• L••
Latest filing Feb 12, 2026
First filing on the tape Jul 3, 2018 · 27 filings
SEC status approved since Aug 2, 2018
RAUM
$305M
reported, Item 5.F
Discretionary
0.3%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$305M as of Feb 12, 2026
Jan 29, 2019$210M then
HNW client RAUM$0 as of Feb 12, 2026
Jan 29, 2019$0 then
State-registered IARs (5.B.3)3 as of Feb 12, 2026
Jan 29, 20192 then
Employees (5.A)3 as of Feb 12, 2026
Jan 29, 20192 then
Private funds: no history
RAUM -11% over the last fiscal year-23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $0derivedHNW RAUM over HNW clients
- Average account
- $11.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.3%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -30%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$305M100%
- Individual clients
- 11reported
- HNW clients
- 3reported
- Pension plan clients
- 16reported
- Charitable clients
- 0reported
- Accounts
- 26reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• J••••• L•••••• | Prosper, Tx | Feb 27, 2019 | 23 y | 4 |
| M•••••• R•••••• G•••• | New York, Ny | Nov 3, 2023 | 21 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• R•••••• G•••• from G••••••• I••••••••• M••••••••• L•Nov 3, 2023 · Other
- J•••• J••••• L•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 27, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• J••••• J••••• · Managing Member & Chief Compliance Officercontrolsince 05/2016 · owns 75% or more
Related persons
Schedule D 7.A
- O•• S••• B••••••• A•• I•••••••• S•••••••• L••real estatey
- O•• S••• C•••••• M••••••••• I•••broker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 28 to 26Mar 13, 2025 to Feb 12, 2026
- HNW clients · 20 to 3Mar 13, 2025 to Feb 12, 2026
- Individual clients · 0 to 11Mar 13, 2025 to Feb 12, 2026
- Pension plan clients · 48 to 16Mar 13, 2025 to Feb 12, 2026
- Financial planning clients · 51-100 to 11-25Mar 13, 2025 to Feb 12, 2026
- Discretionary RAUM · $36.0M to $1.0MMar 13, 2025 to Feb 12, 2026
- HNW RAUM · $36.0M to $0Mar 13, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $305M to $304MMar 13, 2025 to Feb 12, 2026
- RAUM · $341M to $305MMar 13, 2025 to Feb 12, 2026
- HNW clients · 3 to 20Feb 16, 2024 to Mar 13, 2025
- Individual clients · 12 to 0Feb 16, 2024 to Mar 13, 2025
- Pension plan clients · 16 to 48Feb 16, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 51-100Feb 16, 2024 to Mar 13, 2025
- HNW RAUM · $0 to $36.0MFeb 16, 2024 to Mar 13, 2025
- Individual RAUM · $36.0M to $0Feb 16, 2024 to Mar 13, 2025
- Wrap assets (manager) · 0.0 to unsetFeb 16, 2024 to Mar 13, 2025
- Wrap assets (sponsor) · 0.0 to unsetFeb 16, 2024 to Mar 13, 2025
- Advisory employees · 2 to 3Jan 26, 2024 to Feb 16, 2024
- Employees · 2 to 3Jan 26, 2024 to Feb 16, 2024
- State-registered IARs · 2 to 3Jan 26, 2024 to Feb 16, 2024
- Financial planning clients · 26-50 to 101-250Nov 27, 2023 to Jan 26, 2024
- Discretionary RAUM · $360M to $36.0MNov 27, 2023 to Jan 26, 2024
- Individual RAUM · $340M to $36.0MNov 27, 2023 to Jan 26, 2024
- Pension RAUM · $325M to $305MNov 27, 2023 to Jan 26, 2024
- RAUM · $665M to $341MNov 27, 2023 to Jan 26, 2024
- Insurance-licensed employees · 0 to 1Mar 3, 2023 to Nov 27, 2023
- HNW clients · 0 to 3Aug 5, 2022 to Mar 3, 2023
- Financial planning clients · 1-10 to 26-50Aug 5, 2022 to Mar 3, 2023
- Discretionary RAUM · $36.0M to $360MAug 5, 2022 to Mar 3, 2023
- Individual RAUM · $36.0M to $340MAug 5, 2022 to Mar 3, 2023
- Pension RAUM · $305M to $325MAug 5, 2022 to Mar 3, 2023
- RAUM · $341M to $665MAug 5, 2022 to Mar 3, 2023
- Individual RAUM · $31.0M to $36.0MJan 4, 2022 to Feb 22, 2022
- Pension RAUM · $310M to $305MJan 4, 2022 to Feb 22, 2022
- Wrap assets (manager) · $5.0M to $0Jan 4, 2022 to Feb 22, 2022
- Wrap assets (sponsor) · $100M to $0Jan 4, 2022 to Feb 22, 2022
- Wrap assets (manager) · unset to 5000000.0Mar 18, 2021 to Nov 10, 2021
- Wrap assets (sponsor) · unset to 100000000.0Mar 18, 2021 to Nov 10, 2021
- Accounts · 26 to 28Jun 26, 2020 to Mar 18, 2021
- Individual clients · 2 to 12Jun 26, 2020 to Mar 18, 2021
Signals
3 dated events
- O•• S••• R••••••••• I••••••••• A•••••••• L•• reported RAUM $341.0M, down 49% from $665.0M (2023-11-27 to 2024-01-26)Jan 26, 2024 · RAUM change · derived
- O•• S••• R••••••••• I••••••••• A•••••••• L•• reported RAUM $665.0M, up 95% from $341.0M (2022-08-05 to 2023-03-03)Mar 3, 2023 · RAUM change · derived
- S••••••• F•••••••• C••••••••• L•• filed its initial SEC registration (Form ADV)Jul 3, 2018 · 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
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/GENERIC-ADVISORY-FIRMreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212.256.1334reportedpublic record, Form ADV, Feb 12, 2026
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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026