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

T•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 335061SEC 801-132798websiteIAPD
Latest filing Mar 23, 2026
First filing on the tape Apr 28, 2025 · 4 filings
SEC status approved since May 16, 2025
RAUM
$940M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$940M as of Mar 23, 2026
Apr 28, 2025$0 then
HNW client RAUM$0 as of Mar 23, 2026
Apr 28, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Apr 28, 20250 then
Employees (5.A)22 as of Mar 23, 2026
Apr 28, 202516 then
Private funds1 as of Mar 23, 2026
Aug 22, 20251 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
$313MderivedRAUM 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
unknownderived2 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
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$940M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
reported
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
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
      No Schedule A on the extract for this adviser.
      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
      • Advisory employees · 11 to 15
        Dec 1, 2025 to Mar 23, 2026
      • Assets in custody · $294M to $940M
        Dec 1, 2025 to Mar 23, 2026
      • Custody of client assets · true to false
        Dec 1, 2025 to Mar 23, 2026
      • Employees · 18 to 22
        Dec 1, 2025 to Mar 23, 2026
      • Discretionary RAUM · $710M to $940M
        Dec 1, 2025 to Mar 23, 2026
      • Pooled vehicle RAUM · $710M to $940M
        Dec 1, 2025 to Mar 23, 2026
      • RAUM · $710M to $940M
        Dec 1, 2025 to Mar 23, 2026
      • Accounts · 0 to 3
        Apr 28, 2025 to Aug 22, 2025
      • Advisory employees · 9 to 11
        Apr 28, 2025 to Aug 22, 2025
      • Pooled vehicle clients · 0 to 3
        Apr 28, 2025 to Aug 22, 2025
      • Assets in custody · unset to 293573237.0
        Apr 28, 2025 to Aug 22, 2025
      • Custody of client assets · false to true
        Apr 28, 2025 to Aug 22, 2025
      • Employees · 16 to 18
        Apr 28, 2025 to Aug 22, 2025
      • Private funds · unset to 1
        Apr 28, 2025 to Aug 22, 2025
      • Discretionary RAUM · $0 to $710M
        Apr 28, 2025 to Aug 22, 2025
      • Pooled vehicle RAUM · $0 to $710M
        Apr 28, 2025 to Aug 22, 2025
      • RAUM · $0 to $710M
        Apr 28, 2025 to Aug 22, 2025
      • Related adviser · true to false
        Apr 28, 2025 to Aug 22, 2025
      Signals
      2 dated events
      • T•••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $940.1M)
        Sep 1, 2026 · Left the SEC roster · derived
      • T•••••• M••••••••• L• reported RAUM $940.1M, up 32% from $710.3M (2025-12-01 to 2026-03-23)
        Mar 23, 2026 · RAUM change · derived
      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