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

B•••••••• C•••••• A••••••• L••

Former SEC-registered adviserMiami, FloridaCRD 298481SEC 801-114021IAPD
Latest filing Mar 6, 2019
First filing on the tape Aug 21, 2018 · 3 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
2
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM: $197M
HNW client RAUM: $174M
State-registered IARs (5.B.3)0 as of Mar 6, 2019
Aug 21, 20181 then
Employees (5.A)2 as of Mar 6, 2019
Aug 21, 20186 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 6, 2019; 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 assetsreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • D••••• P•••• E••••• · Presidentcontrol
      since 01/2019 · owns less than 5%
    • S••••• H•••••• E••••• · Chief Operating Officer / Chief Compliance Officercontrol
      since 01/2019 · owns less than 5%
    • H••••••••• R••• · Trusteecontrol
      since 10/2011 · owns 75% or more of R••• H•••••••• R•••••••• T••••
    • H••••••••• R••• · Co-Trusteecontrol
      since 10/2011 · owns 25% to 50% of R• F••••• T••••
    • S•••• H••••••••• S•••• R••••• · Co-Trusteecontrol
      since 10/2011 · owns 25% to 50% of R• F••••• T••••
    Entity owners
    • N•••••••• S••••••••• L•• · Shareholder
      direct · owns 75% or more
    • I••••••• F•••••••• S••••••• L•• · Shareholder
      indirect · owns 75% or more of N•••••••• S••••••••• L••
    • N••••••••• H••••••• L•• · Member
      indirect · owns 25% to 50% of N•••••••• S••••••••• L••
    • R• H•••••••• H••••••• L•• · Member
      indirect · owns 75% or more of N••••••••• H••••••• L••
    • R• H•••••••• H••••••• L•• · Member
      indirect · owns 75% or more of R•• F•••••••• G•••• L••
    • R••• H•••••••• R•••••••• T•••• · Member
      indirect · owns 75% or more of R• H•••••••• H••••••• L••
    • R• F••••• T•••• · Member
      indirect · owns 25% to 50% of R• H•••••••• H••••••• L••
    • R•• F•••••••• G•••• L•• · Member
      indirect · owns 25% to 50% of N•••••••• S••••••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 288.0 to unset
      Aug 21, 2018 to Mar 6, 2019
    • Advisory employees · 3 to 0
      Aug 21, 2018 to Mar 6, 2019
    • BD registered reps · 6 to 2
      Aug 21, 2018 to Mar 6, 2019
    • Charity clients · 4 to 0
      Aug 21, 2018 to Mar 6, 2019
    • Corporate clients · 5 to 0
      Aug 21, 2018 to Mar 6, 2019
    • HNW clients · 218 to 0
      Aug 21, 2018 to Mar 6, 2019
    • Individual clients · 57 to 0
      Aug 21, 2018 to Mar 6, 2019
    • Pension plan clients · 4 to 0
      Aug 21, 2018 to Mar 6, 2019
    • Pooled vehicle clients · unset to 0.0
      Aug 21, 2018 to Mar 6, 2019
    • Employees · 6 to 2
      Aug 21, 2018 to Mar 6, 2019
    • HQ city · NEW YORK to MIAMI
      Aug 21, 2018 to Mar 6, 2019
    • HQ state · NY to FL
      Aug 21, 2018 to Mar 6, 2019
    • State-registered IARs · 1 to 0
      Aug 21, 2018 to Mar 6, 2019
    • Other offices · 1 to 0
      Aug 21, 2018 to Mar 6, 2019
    • Discretionary RAUM · 197166296.0 to unset
      Aug 21, 2018 to Mar 6, 2019
    • HNW RAUM · 173629731.0 to unset
      Aug 21, 2018 to Mar 6, 2019
    • Individual RAUM · 14774305.0 to unset
      Aug 21, 2018 to Mar 6, 2019
    • Non-discretionary RAUM · 0.0 to unset
      Aug 21, 2018 to Mar 6, 2019
    • Pension RAUM · 4155118.0 to unset
      Aug 21, 2018 to Mar 6, 2019
    • RAUM · 197166296.0 to unset
      Aug 21, 2018 to Mar 6, 2019
    • Succession · true to false
      Aug 21, 2018 to Mar 6, 2019
    Signals
    3 dated events
    • Ann Lorraine Dipaolo (President, Director And Treasurer) no longer on Schedule A of B•••••••• C•••••• A••••••• L•• (listed 2019-03-06, absent 2019-03-06)
      Mar 6, 2019 · Control person left · inference
    • B•••••••• C•••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Aug 21, 2018 · Succession (Item 4) · fact
    • B•••••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 21, 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.
    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