DFX Intelligence

RIA Intelligence

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1••••• A•••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· New York, New York

Former SEC-registered adviser, based in New York, New York, reporting $66.9M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$66.9M
RAUM change, 1 year
+1066%
Private clients
80%
of RAUM, $53.3M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 1 Jul 2025, RAUM $5.74M to $66.9M (+1066.4%) on the Form ADV filed 1 Jul 2025.

Every filed figure, and the identifiersCRD 326709 · SEC 801-128077 · 8 filingsShow
CRD 326709SEC 801-128077First filing on the tape May 1, 2023, latest Jul 1, 2025SEC status approved since Jun 15, 2023IAPD
RAUM
$66.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$53.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
8 filings and snapshots on the tape

RAUM +1066% over the last fiscal year · the tape starts May 1, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$66.9M as of Jul 1, 2025
Mar 12, 2024$5.7M then
HNW client RAUM$53.3M as of Jul 1, 2025
Apr 10, 2025$53.3M then
State-registered IARs (5.B.3)0 as of Jul 1, 2025
Mar 12, 20240 then
Employees (5.A)1 as of Jul 1, 2025
Mar 12, 20241 then
Private funds1 as of Jul 1, 2025
Mar 12, 20241 then
RAUM +1066% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 2025; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$5.9MderivedHNW RAUM over HNW clients
Average account
$6.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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 office incl. principal (1.F.5)
RAUM growth, one year
+1066%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing

80% high-net-worth individuals, 20% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$53.3M80%
  • Pooled investment vehicles$13.6M20%
Individual clients
n/areported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
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
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      1••••• M•••••••• O••••••••• F••• L•Hedge Fund$5.7M6Mar 12, 2024
      Owners and control persons
      Schedule A and B, latest filing
      • L••• J•••• J••••• · Chief Compliance Officercontrol
        since 04/2023 · owns less than 5%
      • P••••••••• J••••• T•••• · Membercontrol
        since 04/2023 · owns 25% to 50%
      • L••• J•••• J••••• · Chief Compliance Officercontrol
        since 05/2009 · owns 25% to 50% of 1••• A•••••••• A••••••• L••
      • M•••••••• R••••••• J•• · Member / Co-Portfolio Managercontrol
        since 05/2009 · owns 25% to 50% of 1••• A•••••••• A••••••• L••
      Entity owners
      • 1••• A•••••••• A••••••• L•• · Managing Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · 0 to 0
        Apr 10, 2025 to Jul 1, 2025
      • Accounts · 1 to 10
        Mar 15, 2024 to Apr 10, 2025
      • HNW clients · unset to 9.0
        Mar 15, 2024 to Apr 10, 2025
      • Financial planning clients · 1-10 to 0
        Mar 15, 2024 to Apr 10, 2025
      • Discretionary RAUM · $5.7M to $66.9M
        Mar 15, 2024 to Apr 10, 2025
      Full history · 17 changes
      • HNW RAUM · unset to 53328450.0
        Mar 15, 2024 to Apr 10, 2025
      • Pooled vehicle RAUM · $5.7M to $13.6M
        Mar 15, 2024 to Apr 10, 2025
      • RAUM · $5.7M to $66.9M
        Mar 15, 2024 to Apr 10, 2025
      • Accounts · 0 to 1
        Dec 8, 2023 to Mar 12, 2024
      • Advisory activities · 1 to 2
        Dec 8, 2023 to Mar 12, 2024
      • Pooled vehicle clients · unset to 1.0
        Dec 8, 2023 to Mar 12, 2024
      • Financial planning clients · unset to 1-10
        Dec 8, 2023 to Mar 12, 2024
      • State-registered IARs · 1 to 0
        Dec 8, 2023 to Mar 12, 2024
      • Private funds · unset to 1
        Dec 8, 2023 to Mar 12, 2024
      • Discretionary RAUM · $0 to $5.7M
        Dec 8, 2023 to Mar 12, 2024
      • Pooled vehicle RAUM · unset to 5738025.0
        Dec 8, 2023 to Mar 12, 2024
      • RAUM · $0 to $5.7M
        Dec 8, 2023 to Mar 12, 2024
      Signals
      2 dated events
      • ••• Locked
        Jan 2, 2026 · Left the SEC roster · derived
      • ••• Locked
        May 1, 2023 · 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026