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

C•••• P•••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 315686SEC 801-72184IAPD
Latest filing Mar 27, 2023
First filing on the tape Jul 6, 2021 · 12 filings
RAUM
$345M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$345M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$345M as of Mar 27, 2023
Mar 31, 2022$366M then
HNW client RAUM$345M as of Mar 27, 2023
Mar 31, 2022$366M then
State-registered IARs (5.B.3)4 as of Mar 27, 2023
Mar 31, 20224 then
Employees (5.A)4 as of Mar 27, 2023
Mar 31, 20224 then
Private funds: no history
RAUM -5.6% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 2023; every figure names its basis
RAUM per advisor
$86.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.6MderivedHNW RAUM over HNW clients
Average account
$4.6MderivedRAUM 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
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-5.6%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$345M100%
Individual clients
n/areported
HNW clients
75reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
75reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• D•••••• S• · Ceo
        since 09/2015 · owns less than 5%
      • H•••••• J••• · Chief Operatingofficer And Principaloperations Officer
        since 09/2015 · owns less than 5%
      • P••••••• R••••• E••••• · Chief Compliance Officer
        since 03/2010 · owns less than 5%
      • P••••••••• J•••• K•••••••• · Principal Financial Officer
        since 02/2023 · owns less than 5%
      Entity owners
      • C•••• P• H••••••• L•• · Parent
        direct · owns 75% or more
      • C•••• I••• · Indirect Owner
        indirect · owns 75% or more of R•• L• P••••• L••
      • R•• L• P••••• L•• · Indirect Owner
        indirect · owns 75% or more of C•••• P• H••••••• L••
      • T• G•••• U• H••••••• L•• · Indirect Owner
        indirect · owns 75% or more of T•••••• D••••••• H••••••• •••••••• I•••
      • T•• T••••••••• B••• · Ultimate Parent
        indirect · owns 75% or more of T• G•••• U• H••••••• L•• · public reporting company
      • T•••••• D••••••• H••••••• •••••••• I••• · Indirect Owner
        indirect · owns 75% or more of C•••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list C•••• P•••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Garden City, NY1 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $366M to $345M
        Feb 7, 2023 to Mar 27, 2023
      • HNW RAUM · $366M to $345M
        Feb 7, 2023 to Mar 27, 2023
      • RAUM · $366M to $345M
        Feb 7, 2023 to Mar 27, 2023
      • Accounts · 200 to 75
        Oct 27, 2021 to Mar 31, 2022
      • BD registered reps · 5 to 4
        Oct 27, 2021 to Mar 31, 2022
      • HNW clients · 62 to 75
        Oct 27, 2021 to Mar 31, 2022
      • Commission compensation · true to false
        Oct 27, 2021 to Mar 31, 2022
      • Employees · 5 to 4
        Oct 27, 2021 to Mar 31, 2022
      • Discretionary RAUM · $346M to $366M
        Oct 27, 2021 to Mar 31, 2022
      • HNW RAUM · $346M to $366M
        Oct 27, 2021 to Mar 31, 2022
      • RAUM · $346M to $366M
        Oct 27, 2021 to Mar 31, 2022
      • Discretionary RAUM · $336M to $346M
        Jul 15, 2021 to Oct 27, 2021
      • HNW RAUM · $336M to $346M
        Jul 15, 2021 to Oct 27, 2021
      • RAUM · $336M to $346M
        Jul 15, 2021 to Oct 27, 2021
      • Succession · false to true
        Jul 6, 2021 to Jul 8, 2021
      • Succession · true to false
        Jul 8, 2021 to Jul 8, 2021
      Signals
      4 dated events
      • J•••••• M••••• B•••••••• left C•••• P•••• A••••••• L•• for S••••••••• B•••••••• C•••••• M••••••••• (registered 2023-07-07)
        Aug 10, 2023 · Advisor changed firm · fact
      • I•••• W••••• S••••••••• left C•••• P•••• A••••••• L•• for S••••••••• B•••••••• C•••••• M••••••••• (registered 2023-07-18)
        Aug 10, 2023 · Advisor changed firm · fact
      • 2 advisors left C•••• P•••• A••••••• L•• (New York, NY) for S••••••••• B•••••••• C•••••• M••••••••• on the same day
        Aug 10, 2023 · Team lift-out · derived
      • C•••• P•••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jul 8, 2021 · Succession (Item 4) · 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