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
P••••••••• C•••••• M••••••••• L••
Latest filing Jun 26, 2024
First filing on the tape Jan 6, 2022 · 12 filings
RAUM
$20.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$20.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$20.8M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$20.8M as of Feb 2, 2024
Mar 17, 2023$25.9M then
HNW client RAUM$20.8M as of Feb 2, 2024
Mar 17, 2023$25.9M then
State-registered IARs (5.B.3)1 as of Feb 2, 2024
Mar 17, 20231 then
Employees (5.A)1 as of Feb 2, 2024
Mar 17, 20231 then
Private funds: no history
RAUM -19% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 26, 2024; every figure names its basis
- RAUM per advisor
- $20.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$20.8M100%
- Individual clients
- n/areported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• J••••• Y•••• | New York, Ny | Feb 27, 2024 | 20 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••• J••••• Y•••• from C•••• H•••• C•••••• M••••••••• L••Feb 27, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y••••• A•••• J••••• · Ceo/Ccocontrolsince 12/2021 · owns 75% or more
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 · 16 to 9Dec 14, 2023 to Feb 2, 2024
- HNW clients · 16 to 9Dec 14, 2023 to Feb 2, 2024
- Discretionary RAUM · $23.0M to $20.8MDec 14, 2023 to Feb 2, 2024
- HNW RAUM · $23.0M to $20.8MDec 14, 2023 to Feb 2, 2024
- RAUM · $23.0M to $20.8MDec 14, 2023 to Feb 2, 2024
- Advisory employees · 0 to 1Mar 17, 2023 to Dec 14, 2023
- Discretionary RAUM · $25.9M to $23.0MMar 17, 2023 to Dec 14, 2023
- HNW RAUM · $25.9M to $23.0MMar 17, 2023 to Dec 14, 2023
- RAUM · $25.9M to $23.0MMar 17, 2023 to Dec 14, 2023
- Discretionary RAUM · $26.7M to $25.9MNov 21, 2022 to Mar 17, 2023
- HNW RAUM · $26.7M to $25.9MNov 21, 2022 to Mar 17, 2023
- RAUM · $26.7M to $25.9MNov 21, 2022 to Mar 17, 2023
- Discretionary RAUM · $29.6M to $26.7MAug 8, 2022 to Nov 21, 2022
- HNW RAUM · $29.6M to $26.7MAug 8, 2022 to Nov 21, 2022
- RAUM · $29.6M to $26.7MAug 8, 2022 to Nov 21, 2022
- HQ city · unset to NEW YORKMay 31, 2022 to Jul 29, 2022
- HQ state · unset to NYMay 31, 2022 to Jul 29, 2022
- Accounts · 0 to 16Feb 7, 2022 to May 31, 2022
- HNW clients · unset to 16.0Feb 7, 2022 to May 31, 2022
- Discretionary RAUM · $0 to $29.6MFeb 7, 2022 to May 31, 2022
- HNW RAUM · unset to 29625385.0Feb 7, 2022 to May 31, 2022
- RAUM · $0 to $29.6MFeb 7, 2022 to May 31, 2022
- Organization form · Limited Liability Partnership to Limited Liability CompanyJan 6, 2022 to Jan 13, 2022
Signals
1 dated events
- P••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 6, 2022 · 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
- $20.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026