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

F•• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 304035SEC 801-117658IAPD
Latest filing Feb 27, 2024
First filing on the tape May 17, 2019 · 19 filings
RAUM
$61.0M
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
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$61.0M as of Feb 27, 2024
Mar 29, 2022$90.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 27, 2024
Mar 27, 20201 then
Employees (5.A)1 as of Feb 27, 2024
Mar 27, 20203 then
Private funds: no history
RAUM -42% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 27, 2024; every figure names its basis
RAUM per advisor
$61.0MderivedRAUM 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
$61.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-42%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Wrap fee program
$61.0MreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$61.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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••••••• T•••••• J••••••• J•••• · Ceo/Cco
        since 01/2022 · owns less than 5%
      Entity owners
      • F•• A•••• M••••••••• S•••••••• I•• · Sole Member/Owner
        direct · owns 75% or more
      • C••••• D• D•••• E• P•••••••• D• Q••••• ••••• · Owner
        indirect · owns 50% to 75% of F•• A•••• M••••••••• S•••••••• I••
      • G••••••••• I••••••••• M••••••••• L•• · Owner
        indirect · owns 50% to 75% of F•• A•••• M••••••••• S•••••••• I••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Jan 19, 2024 to Feb 27, 2024
      • Corporate clients · 2 to 1
        Jan 19, 2024 to Feb 27, 2024
      • Discretionary RAUM · $105M to $61.0M
        Jan 19, 2024 to Feb 27, 2024
      • RAUM · $105M to $61.0M
        Jan 19, 2024 to Feb 27, 2024
      • Wrap assets (sponsor) · $105M to $0
        Jan 19, 2024 to Feb 27, 2024
      • HQ city · AVENTURA to NEW YORK
        Dec 1, 2023 to Jan 19, 2024
      • HQ state · FL to NY
        Dec 1, 2023 to Jan 19, 2024
      • Business name · Y••••• A•••••••• L•• to F•• A••••••• L••
        May 30, 2023 to Dec 1, 2023
      • Legal name · Y••••• A•••••••• L•• to F•• A••••••• L••
        May 30, 2023 to Dec 1, 2023
      • Advisory activities · 5 to 4
        Dec 5, 2022 to Mar 14, 2023
      • BD registered reps · 2 to 0
        Dec 5, 2022 to Mar 14, 2023
      • Corporate clients · 1 to 2
        Dec 5, 2022 to Mar 14, 2023
      • Employees · 2 to 1
        Dec 5, 2022 to Mar 14, 2023
      • Discretionary RAUM · $90.3M to $105M
        Dec 5, 2022 to Mar 14, 2023
      • RAUM · $90.3M to $105M
        Dec 5, 2022 to Mar 14, 2023
      • Related broker-dealer · true to false
        Dec 5, 2022 to Mar 14, 2023
      • Wrap assets (sponsor) · $49.3M to $105M
        Dec 5, 2022 to Mar 14, 2023
      • Accounts · unset to 2.0
        Feb 18, 2022 to Mar 29, 2022
      • Corporate clients · unset to 1.0
        Feb 18, 2022 to Mar 29, 2022
      • Discretionary RAUM · unset to 90267850.0
        Feb 18, 2022 to Mar 29, 2022
      • Non-discretionary RAUM · unset to 0.0
        Feb 18, 2022 to Mar 29, 2022
      • RAUM · unset to 90267850.0
        Feb 18, 2022 to Mar 29, 2022
      • Wrap assets (sponsor) · $0 to $49.3M
        Feb 18, 2022 to Mar 29, 2022
      • BD registered reps · 0 to 2
        Nov 25, 2020 to Feb 23, 2021
      • Business name · B•••••••• A•••••••• L•• to Y••••• A•••••••• L••
        Nov 25, 2020 to Feb 23, 2021
      • Employees · 3 to 2
        Nov 25, 2020 to Feb 23, 2021
      • Legal name · B•••••••• A•••••••• L•• to Y••••• A•••••••• L••
        Nov 25, 2020 to Feb 23, 2021
      • Business name · B•••••••• A••••••• to B•••••••• A•••••••• L••
        Mar 27, 2020 to Jun 29, 2020
      • Charity clients · 0.0 to unset
        Dec 18, 2019 to Mar 27, 2020
      • Corporate clients · 0.0 to unset
        Dec 18, 2019 to Mar 27, 2020
      • HNW clients · 0.0 to unset
        Dec 18, 2019 to Mar 27, 2020
      • Individual clients · 0.0 to unset
        Dec 18, 2019 to Mar 27, 2020
      • Pension plan clients · 0.0 to unset
        Dec 18, 2019 to Mar 27, 2020
      • State-registered IARs · 0 to 1
        Dec 18, 2019 to Mar 27, 2020
      • Wrap assets (manager) · unset to 0.0
        Dec 18, 2019 to Mar 27, 2020
      • Wrap assets (sponsor) · unset to 0.0
        Dec 18, 2019 to Mar 27, 2020
      • Other offices · 0 to 1
        Oct 21, 2019 to Dec 18, 2019
      • Accounts · 0.0 to unset
        Jul 16, 2019 to Oct 21, 2019
      • Advisory activities · 4 to 5
        Jul 16, 2019 to Oct 21, 2019
      • HQ city · MIAMI to AVENTURA
        Jul 16, 2019 to Oct 21, 2019
      Signals
      5 dated events
      • Seth Adam Green (Owner) no longer on Schedule A of F•• A••••••• L•• (listed 2022-12-05, absent 2023-03-14)
        Mar 14, 2023 · Control person left · inference
      • K (Mi Only) Shlomo G•••• (Owner) no longer on Schedule A of F•• A••••••• L•• (listed 2022-12-05, absent 2023-03-14)
        Mar 14, 2023 · Control person left · inference
      • Eli G•••• (Cco) no longer on Schedule A of F•• A••••••• L•• (listed 2021-09-15, absent 2022-02-18)
        Feb 18, 2022 · Control person left · inference
      • Eli G•••• (Cco) appeared on Schedule A of F•• A••••••• L••
        Feb 23, 2021 · Control person joined · fact
      • B•••••••• A••••••• filed its initial SEC registration (Form ADV)
        May 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