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

L•••• H•••••• • C••• I•••

Former SEC-registered adviserNew York, New YorkCRD 8041SEC 801-14866IAPD
Latest filing Mar 16, 2018
First filing on the tape Jan 25, 2012 · 13 filings
RAUM
$267M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$267M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$267M as of Feb 12, 2018
Jan 25, 2012$224M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 12, 2018
Jan 25, 20132 then
Employees (5.A)6 as of Feb 12, 2018
Jan 25, 20137 then
Private funds1 as of Jan 19, 2016
Jan 25, 20131 then
RAUM -4.0% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2018; 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
$2.5MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year
-4.0%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-based, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$267M100%
Individual clients
107reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
107reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performance, commissionsreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    T•• G•••• F•••• L•••no longer reportedHedge Fund$27.3M16Apr 10, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••• M•••••• J•••• · President, Treasurer, Ccocontrol
      since 08/1979 · owns 75% or more
    • F••••••• R•••••• M••• · Finop
      since 06/2016 · owns less than 5%
    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 · 121 to 107
      Feb 16, 2017 to Feb 12, 2018
    • BD registered reps · 2 to 1
      Feb 16, 2017 to Feb 12, 2018
    • Individual clients · unset to 107.0
      Feb 16, 2017 to Feb 12, 2018
    • Other offices · unset to 0.0
      Feb 16, 2017 to Feb 12, 2018
    • Discretionary RAUM · $278M to $267M
      Feb 16, 2017 to Feb 12, 2018
    • Individual RAUM · unset to 267195107.0
      Feb 16, 2017 to Feb 12, 2018
    • RAUM · $278M to $267M
      Feb 16, 2017 to Feb 12, 2018
    • Accounts · 123 to 121
      Jun 22, 2016 to Feb 16, 2017
    • Advisory employees · 2 to 1
      Jun 22, 2016 to Feb 16, 2017
    • BD registered reps · 3 to 2
      Jun 22, 2016 to Feb 16, 2017
    • Employees · 7 to 6
      Jun 22, 2016 to Feb 16, 2017
    • Financial planning clients · 101-250 to unset
      Jun 22, 2016 to Feb 16, 2017
    • Discretionary RAUM · $214M to $278M
      Jun 22, 2016 to Feb 16, 2017
    • RAUM · $214M to $278M
      Jun 22, 2016 to Feb 16, 2017
    • State-registered IARs · 2 to 0
      Apr 14, 2016 to Jun 22, 2016
    • Private funds · 1 to unset
      Apr 14, 2016 to Jun 22, 2016
    • Accounts · 127 to 123
      Jun 18, 2015 to Jan 19, 2016
    • Discretionary RAUM · $216M to $214M
      Jun 18, 2015 to Jan 19, 2016
    • RAUM · $216M to $214M
      Jun 18, 2015 to Jan 19, 2016
    • Accounts · 108 to 127
      Sep 12, 2014 to Jan 16, 2015
    • Discretionary RAUM · $189M to $216M
      Sep 12, 2014 to Jan 16, 2015
    • RAUM · $189M to $216M
      Sep 12, 2014 to Jan 16, 2015
    • Accounts · 100 to 108
      Jan 25, 2013 to Jan 22, 2014
    • Discretionary RAUM · $184M to $189M
      Jan 25, 2013 to Jan 22, 2014
    • RAUM · $184M to $189M
      Jan 25, 2013 to Jan 22, 2014
    • Accounts · 137 to 100
      Apr 10, 2012 to Jan 25, 2013
    • Advisory employees · unset to 2.0
      Apr 10, 2012 to Jan 25, 2013
    • BD registered reps · unset to 3.0
      Apr 10, 2012 to Jan 25, 2013
    • Employees · unset to 7.0
      Apr 10, 2012 to Jan 25, 2013
    • State-registered IARs · unset to 2.0
      Apr 10, 2012 to Jan 25, 2013
    • Discretionary RAUM · $224M to $184M
      Apr 10, 2012 to Jan 25, 2013
    • RAUM · $224M to $184M
      Apr 10, 2012 to Jan 25, 2013
    • Private funds · unset to 1
      Jan 25, 2012 to Apr 10, 2012
    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.
    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