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

I••••••••• A••••••• L••

Former SEC-registered adviserCRD 300166SEC 801-114615IAPD
Latest filing Sep 7, 2022
First filing on the tape Dec 20, 2018 · 10 filings
RAUM
$118M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$204,260 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$94.8M as of Feb 21, 2022
Jan 10, 2020$47.7M then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Feb 21, 2022
Jan 10, 20200 then
Employees (5.A)3 as of Feb 21, 2022
Jan 10, 20202 then
Private funds: no history
RAUM +186% over the last fiscal yearIARs 0 to 0offices 0 to 2
Practice profile
derived from the filing of Sep 7, 2022; 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
$204,260derivedHNW RAUM over HNW clients
Average account
$3.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+129%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 individualsreportedItem 5.G
Wrap fee program
$118MreportedItem 5.I
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
  • Corporations and businesses$117M99%
  • Charitable organizations$833,7220.7%
  • High-net-worth individuals$204,2600.2%
Individual clients
0reported
HNW clients
1reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
38reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
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
      • M••••••••• K••••••• · Ceo/Ccocontrol
        since 08/2018 · owns less than 5%
      • P••••••• G••••••• T••••• · Ctocontrol
        since 12/2019 · owns less than 5%
      • M••••••••• K••••••• · Ceo/Ccocontrol
        since 08/2018 · owns 50% to 75% of I••••••••• T••••••••• I••
      Entity owners
      • I••••••••• T••••••••• I•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Fort Lauderdale, FL1 employees
      • New York, NY1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 42 to 38
        Apr 25, 2022 to Sep 7, 2022
      • Corporate clients · 38 to 36
        Apr 25, 2022 to Sep 7, 2022
      • HNW clients · 0 to 1
        Apr 25, 2022 to Sep 7, 2022
      • Individual clients · 3 to 0
        Apr 25, 2022 to Sep 7, 2022
      • Discretionary RAUM · $94.8M to $118M
        Apr 25, 2022 to Sep 7, 2022
      • HNW RAUM · $0 to $204,260
        Apr 25, 2022 to Sep 7, 2022
      • Individual RAUM · $336,726 to $0
        Apr 25, 2022 to Sep 7, 2022
      • RAUM · $94.8M to $118M
        Apr 25, 2022 to Sep 7, 2022
      • Other offices · 0 to 2
        Feb 21, 2022 to Feb 23, 2022
      • Accounts · 44 to 42
        Mar 29, 2021 to Feb 21, 2022
      • Corporate clients · 36 to 38
        Mar 29, 2021 to Feb 21, 2022
      • HNW clients · unset to 0.0
        Mar 29, 2021 to Feb 21, 2022
      • Individual clients · 7 to 3
        Mar 29, 2021 to Feb 21, 2022
      • Pension plan clients · unset to 0.0
        Mar 29, 2021 to Feb 21, 2022
      • Pooled vehicle clients · unset to 0.0
        Mar 29, 2021 to Feb 21, 2022
      • Discretionary RAUM · $41.5M to $94.8M
        Mar 29, 2021 to Feb 21, 2022
      • HNW RAUM · unset to 0.0
        Mar 29, 2021 to Feb 21, 2022
      • Individual RAUM · $702,366 to $336,726
        Mar 29, 2021 to Feb 21, 2022
      • Pension RAUM · unset to 0.0
        Mar 29, 2021 to Feb 21, 2022
      • Pooled vehicle RAUM · unset to 0.0
        Mar 29, 2021 to Feb 21, 2022
      • RAUM · $41.5M to $94.8M
        Mar 29, 2021 to Feb 21, 2022
      • Accounts · 54 to 44
        Jun 30, 2020 to Mar 29, 2021
      • Corporate clients · 41 to 36
        Jun 30, 2020 to Mar 29, 2021
      • Individual clients · 12 to 7
        Jun 30, 2020 to Mar 29, 2021
      • Employees · 2 to 3
        Jun 30, 2020 to Mar 29, 2021
      • Discretionary RAUM · $47.7M to $41.5M
        Jun 30, 2020 to Mar 29, 2021
      • Individual RAUM · $1.2M to $702,366
        Jun 30, 2020 to Mar 29, 2021
      • RAUM · $47.7M to $41.5M
        Jun 30, 2020 to Mar 29, 2021
      • Accounts · 0 to 54
        Jan 30, 2019 to Jan 10, 2020
      • Charity clients · unset to 1.0
        Jan 30, 2019 to Jan 10, 2020
      • Corporate clients · unset to 41.0
        Jan 30, 2019 to Jan 10, 2020
      • Individual clients · unset to 12.0
        Jan 30, 2019 to Jan 10, 2020
      • Discretionary RAUM · $0 to $47.7M
        Jan 30, 2019 to Jan 10, 2020
      • Individual RAUM · $0 to $1.2M
        Jan 30, 2019 to Jan 10, 2020
      • RAUM · $0 to $47.7M
        Jan 30, 2019 to Jan 10, 2020
      Signals
      3 dated events
      • Thomas Gregory Pascale (Cto) appeared on Schedule A of I••••••••• A••••••• L••
        Jan 10, 2020 · Control person joined · fact
      • Anish Kumar (Cfo/Cco) no longer on Schedule A of I••••••••• A••••••• L•• (listed 2019-01-30, absent 2020-01-10)
        Jan 10, 2020 · Control person left · inference
      • I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 20, 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