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.

Former SEC-registered adviser

Telikos Investment Management, LLC

Former SEC-registered adviserParsippany, New JerseyCRD 300863SEC 801-115016IAPD
Latest filing Mar 30, 2020
First filing on the tape Mar 17, 2019 · 5 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
3
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$0 as of Aug 16, 2019
Mar 17, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2020
Mar 17, 20191 then
Employees (5.A)3 as of Mar 30, 2020
Mar 17, 20191 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2020; 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
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
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
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
      • Stanley Gregor · Chief Executive Officercontrol
        since 05/2019 · owns less than 5%
      • Bahar Esmat Hawkesworth · Chief Legal Officer And Chief Compliance Officercontrol
        since 05/2019 · owns less than 5%
      • Deborah Mara Stempler · Chief Financial Officercontrol
        since 05/2019 · owns less than 5%
      • Stanley Gregor · Membercontrol
        since 10/2018 · owns 25% to 50% of Summit Financial Services, LLC
      Entity owners
      • Telikos Investment Management Holdings, LLC · Managing Member / Parent
        direct · owns 75% or more
      • Summit Equities, Inc. · Member
        indirect · owns 50% to 75% of Summit Financial Services, LLC
      • Summit Financial Holdings, LLC · Owner / Parent
        indirect · owns 75% or more of Telikos Investment Management Holdings, LLC
      • Summit Financial Services, LLC · Managing Member
        indirect · owns 75% or more of Summit Financial Holdings, LLC
      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 · 0.0 to unset
        Aug 16, 2019 to Mar 30, 2020
      • Advisory employees · 1 to 0
        Aug 16, 2019 to Mar 30, 2020
      • BD registered reps · 0 to 1
        Aug 16, 2019 to Mar 30, 2020
      • Employees · 1 to 3
        Aug 16, 2019 to Mar 30, 2020
      • Insurance-licensed employees · 0 to 1
        Aug 16, 2019 to Mar 30, 2020
      • Discretionary RAUM · 0.0 to unset
        Aug 16, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · 0.0 to unset
        Aug 16, 2019 to Mar 30, 2020
      • RAUM · 0.0 to unset
        Aug 16, 2019 to Mar 30, 2020
      • HQ city · NEW YORK to PARSIPPANY
        Mar 17, 2019 to May 31, 2019
      • HQ state · NY to NJ
        Mar 17, 2019 to May 31, 2019
      • Related adviser · false to true
        Mar 17, 2019 to May 31, 2019
      • Related broker-dealer · false to true
        Mar 17, 2019 to May 31, 2019
      Signals
      5 dated events
      • Sidney Brown (Chief Investment Officer) no longer on Schedule A of Telikos Investment Management, Llc (listed 2019-08-16, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Deborah Mara Stempler (Chief Financial Officer) appeared on Schedule A of Telikos Investment Management, Llc
        May 31, 2019 · Control person joined · fact
      • Stanley Gregor (Chief Executive Officer) appeared on Schedule A of Telikos Investment Management, Llc
        May 31, 2019 · Control person joined · fact
      • Bahar Esmat Hawkesworth (Chief Legal Officer And Chief Compliance Officer) appeared on Schedule A of Telikos Investment Management, Llc
        May 31, 2019 · Control person joined · fact
      • Telikos Investment Management, Llc filed its initial SEC registration (Form ADV)
        Mar 17, 2019 · 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