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

R••••••• C•••••• P••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 306643SEC 801-117826IAPD
Latest filing Jun 23, 2020
First filing on the tape Nov 19, 2019 · 4 filings
RAUM
$501M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$501M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$501M as of Jun 23, 2020
Nov 19, 2019$0 then
HNW client RAUM$501M as of Jun 23, 2020
Nov 19, 2019$0 then
State-registered IARs (5.B.3)0 as of Jun 23, 2020
Nov 19, 20190 then
Employees (5.A)4 as of Jun 23, 2020
Nov 19, 20194 then
Private funds: no history
Practice profile
derived from the filing of Jun 23, 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
$251MderivedHNW RAUM over HNW clients
Average account
$251MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 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
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$501M100%
Individual clients
0reported
HNW clients
2reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • A••••••••• T••••• F•••• · Chief Executive Officercontrol
        since 01/2019 · owns 75% or more
      • K••• B••• · Director
        since 11/2019 · owns less than 5%
      • K••••••••• O••• · Chief Compliance Officer
        since 11/2019 · owns 5% to 10%
      • T••••• L••••• D• · Chief Of Staff
        since 11/2019 · owns less than 5%
      Entity owners
      • R••••••• C•••••• P••••••• G•• L•• · General Partner
        direct · owns less than 5%
      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
      • Accounts · 0 to 2
        Jan 2, 2020 to May 1, 2020
      • HNW clients · 0 to 2
        Jan 2, 2020 to May 1, 2020
      • HNW RAUM · $0 to $501M
        Jan 2, 2020 to May 1, 2020
      • Non-discretionary RAUM · $0 to $501M
        Jan 2, 2020 to May 1, 2020
      • RAUM · $0 to $501M
        Jan 2, 2020 to May 1, 2020
      Signals
      1 dated events
      • R••••••• C•••••• P••••••• L• filed its initial SEC registration (Form ADV)
        Nov 19, 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