DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

T••••••• I••••••••• I••••••••• A••••••• L••

Former SEC-registered adviserBrooklyn, New YorkCRD 327585SEC 801-128519IAPD
Latest filing Mar 27, 2026
First filing on the tape Jul 5, 2023 · 17 filings
SEC status approved since Aug 17, 2023
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 27, 2026
Feb 25, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 29, 20240 then
Employees (5.A)2 as of Mar 27, 2026
Mar 29, 20242 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, educational seminarsreportedItem 5.G
Wrap fee program
participatesreportedItem 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
4,991reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
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
      • R••••••••• E••••• M•••• K••• · President, Treasurer, And Chief Compliance Officercontrol
        since 08/2023 · owns less than 5%
      • V•••• I••• · Secretarycontrol
        since 08/2023 · owns less than 5%
      • R••••••••• E••••• M•••• K••• · Co-Founder And Chief Executive Officercontrol
        since 08/2020 · owns 25% to 50% of T••••••• I••••••••• I•••
      • V•••• I••• · Co-Founder And Chief Technology Officercontrol
        since 08/2020 · owns 25% to 50% of T••••••• I••••••••• I•••
      Entity owners
      • T••••••• I••••••••• I••• · Parent
        direct · 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
      • Individual clients · 832 to 4,991
        Dec 1, 2025 to Mar 27, 2026
      • Advisory activities · 3 to 2
        Mar 25, 2025 to Dec 1, 2025
      • Advisory activities · 2 to 3
        Feb 25, 2025 to Mar 25, 2025
      • Financial planning clients · unset to
        Feb 25, 2025 to Mar 25, 2025
      • Accounts · unset to 0.0
        Dec 2, 2024 to Feb 25, 2025
      • Discretionary RAUM · unset to 0.0
        Dec 2, 2024 to Feb 25, 2025
      • Non-discretionary RAUM · unset to 0.0
        Dec 2, 2024 to Feb 25, 2025
      • RAUM · unset to 0.0
        Dec 2, 2024 to Feb 25, 2025
      • Individual clients · 285 to 832
        Feb 1, 2024 to Mar 29, 2024
      • Individual clients · unset to 285.0
        Dec 8, 2023 to Dec 15, 2023
      • Individual RAUM · unset to 0.0
        Dec 8, 2023 to Dec 15, 2023
      • Wrap assets (manager) · unset to 0.0
        Aug 1, 2023 to Aug 14, 2023
      • Wrap assets (sponsor) · unset to 0.0
        Aug 1, 2023 to Aug 14, 2023
      • HQ city · unset to BROOKLYN
        Jul 5, 2023 to Aug 1, 2023
      • HQ state · unset to NY
        Jul 5, 2023 to Aug 1, 2023
      Signals
      3 dated events
      • ••• Locked
        Aug 3, 2026 · Left the SEC roster · derived
      • ••• Locked
        Aug 1, 2023 · Control person left · inference
      • ••• Locked
        Jul 5, 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
      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