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••• L••

Former SEC-registered adviserNew York, New YorkCRD 298935SEC 801-118028websiteIAPD
Latest filing Mar 31, 2025
First filing on the tape Jan 4, 2020 · 8 filings
SEC status approved since Jan 31, 2020
RAUM
$100,817
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
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$100,817 as of Mar 31, 2025
Mar 24, 2020$0 then
HNW client RAUM$0 as of Mar 31, 2025
Mar 24, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2025
Mar 24, 20200 then
Employees (5.A)3 as of Mar 31, 2025
Mar 24, 20203 then
Private funds: no history
RAUM -1.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2025; 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
$100,817derivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.0%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • 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
  • Investment companies$100,817100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
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
Left, latest
none on the tape
    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
      • B••••••••• J•••••• P••• · Member And Ceocontrol
        since 01/2020 · owns 50% to 75%
      • S•••••••• S••••• · Chief Investment Officercontrol
        since 01/2020 · owns 10% to 25%
      • A•••••• C••••••• M•••• · Cco
        since 01/2022 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · 0 to 0
        Apr 3, 2024 to Mar 31, 2025
      • Discretionary RAUM · $101,833 to $100,817
        Apr 3, 2024 to Mar 31, 2025
      • RAUM · $101,833 to $100,817
        Apr 3, 2024 to Mar 31, 2025
      • Accounts · 0 to 1
        Mar 31, 2023 to Apr 3, 2024
      • Discretionary RAUM · $0 to $101,833
        Mar 31, 2023 to Apr 3, 2024
      • RAUM · $0 to $101,833
        Mar 31, 2023 to Apr 3, 2024
      • Accounts · unset to 0.0
        Mar 4, 2022 to Mar 31, 2023
      • Financial planning clients · unset to 0
        Mar 4, 2022 to Mar 31, 2023
      • Discretionary RAUM · unset to 0.0
        Mar 4, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · unset to 0.0
        Mar 4, 2022 to Mar 31, 2023
      • RAUM · unset to 0.0
        Mar 4, 2022 to Mar 31, 2023
      • Accounts · 0.0 to unset
        Apr 1, 2020 to Mar 18, 2021
      • Discretionary RAUM · 0.0 to unset
        Apr 1, 2020 to Mar 18, 2021
      • Non-discretionary RAUM · 0.0 to unset
        Apr 1, 2020 to Mar 18, 2021
      • RAUM · 0.0 to unset
        Apr 1, 2020 to Mar 18, 2021
      Signals
      3 dated events
      • A••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $100,817)
        Apr 1, 2026 · Left the SEC roster · derived
      • Sheryl Schwartz (Chief Investment Officer) appeared on Schedule A of A••• L••
        Mar 31, 2023 · Control person joined · fact
      • A••• L•• filed its initial SEC registration (Form ADV)
        Jan 4, 2020 · 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