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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SEC-registered adviser

I••••• C•••

Other adviserNew York, New YorkCRD 337603SEC 801-134671websiteIAPD
Latest filing May 31, 2026
First filing on the tape Dec 23, 2025 · 2 filings
SEC status approved since Jan 29, 2026
RAUM
$82.0M
reported, Item 5.F
Discretionary
0.0%
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$82.0M as of May 31, 2026
Dec 23, 2025$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of May 31, 2026
Dec 23, 20250 then
Employees (5.A)2 as of May 31, 2026
Dec 23, 20251 then
Private funds: no history
Practice profile
derived from the filing of May 31, 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
$82.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • Corporations and businesses$82.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      • D•••••• A••••• · Vice Presidentcontrol
        since 06/2025 · owns less than 5%
      • D• F•••••••• P••••••••• · Vice Presidentcontrol
        since 06/2025 · owns less than 5%
      • D••••••• R••• · Ceo - Presidentcontrol
        since 06/2025 · owns less than 5%
      • O•••• Y•••••• · Ciocontrol
        since 08/2025 · owns less than 5%
      • V• T••••• C•••••••• · Vice President And Chief Compliance Officercontrol
        since 06/2025 · owns less than 5%
      Entity owners
      • I••••• F••••• O••••• · Owner
        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.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing May 31, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (34 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: other advisers, under $100M (34) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 1
        Dec 23, 2025 to May 31, 2026
      • Advisory employees · 1 to 2
        Dec 23, 2025 to May 31, 2026
      • Corporate clients · unset to 1.0
        Dec 23, 2025 to May 31, 2026
      • Employees · 1 to 2
        Dec 23, 2025 to May 31, 2026
      • HNW RAUM · 0.0 to unset
        Dec 23, 2025 to May 31, 2026
      • Non-discretionary RAUM · $0 to $82.0M
        Dec 23, 2025 to May 31, 2026
      • RAUM · $0 to $82.0M
        Dec 23, 2025 to May 31, 2026
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      i••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      917-864-0407reportedpublic record, Form ADV, May 31, 2026
      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
      Other 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