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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

INDEPENDENT PORTFOLIO CONSULTANTS, INC.

CRD 120420

BOCA RATON, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c880f58d-3927-8dcf-0422-a7f5489ff3be

Data as of Nov 8, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 0
On other graphs: 0
Observed: Dec 8, 2011 to Nov 8, 2017
33 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.0BItem 5.F on the latest filing (2017-11-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $378M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,120
Custody, client assets: $2.0B
SEC number: 801-61381
CRD: 120420
Filings on the tape: 33
First filed: Dec 8, 2011
Latest filed: Nov 8, 2017
Organised: Corporation, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BUSH, ALAN, DEAN	VICE CHAIRMAN	D	yes	10/2016	Dec 8, 2011	Nov 8, 2017
FLEMING, MICHAEL, ANDREW	CHIEF EXECUTIVE OFFICER, DIRECTOR & CCO	Na	yes	08/2017	Jun 10, 2016	Nov 8, 2017
Halliday, Michael, K.C.	BOARD MEMBER	Na	yes	08/2016	Sep 16, 2016	Nov 8, 2017
JOYCE, JR., FREDERICK, SAMUEL	TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT	C	yes	02/2005	Dec 8, 2011	Nov 8, 2017
KAUL, ARUN	PRESIDENT & CHIEF OPERATING OFFICER & CHIEF INVESTMENT OFFICER	Na	yes	10/2016	Sep 16, 2016	Nov 8, 2017
KOBURGER, DAVID, ROBERT	VICE PRESIDENT	C	yes	11/2001	Dec 8, 2011	Nov 8, 2017
MOTHERWELL, JOHN, DAVID	NATIONAL SALES MANAGER	Na	yes	01/2015	Sep 16, 2016	Nov 8, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BLUE SHORES CAPITAL MANAGEMENT LLC	n/a	Former SEC adviser	$25.5M	Y	no	n/a
IPC PRIVATE WEALTH PARTNERS, LLC	n/a	Former SEC adviser	$4.7M	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 2017	$2.0B	$378M	38	18	n/a	n/a	n/a
2015	Mar 31, 2016	$2.1B	$393M	41	21	n/a	n/a	n/a
2014	Mar 31, 2015	$2.4B	$574M	41	22	n/a	n/a	n/a
2013	Feb 7, 2014	$2.1B	$384M	37	18	n/a	n/a	n/a
2012	Mar 26, 2013	$2.0B	$286M	36	16	n/a	n/a	n/a
2011	Mar 30, 2012	$1.8B	$225M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$2.0B	$2.1B	-0.6%	$2.1B	-0.9%	15	41	1	n/a

Relationships

Affiliated with (4)

→ BLUE SHORES CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, control
factForm ADV
→ IPC PRIVATE WEALTH PARTNERS, LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← IPC PRIVATE WEALTH PARTNERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← BLUE SHORES CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser
factForm ADV

Controls (7)

← JOYCE, JR., FREDERICK, SAMUELOwnerTREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT, ownership code C, individual
Dec 8, 2011 to presentfactForm ADV
← FLEMING, MICHAEL, ANDREWOwnerCHIEF EXECUTIVE OFFICER, DIRECTOR & CCO, ownership code NA, individual
Jun 10, 2016 to presentfactForm ADV
← BUSH, ALAN, DEANOwnerVICE CHAIRMAN, ownership code D, individual
Dec 8, 2011 to presentfactForm ADV
← KAUL, ARUNOwnerPRESIDENT & CHIEF OPERATING OFFICER & CHIEF INVESTMENT OFFICER, ownership code NA, individual
Sep 16, 2016 to presentfactForm ADV
← MOTHERWELL, JOHN, DAVIDOwnerNATIONAL SALES MANAGER, ownership code NA, individual
Sep 16, 2016 to presentfactForm ADV
← Halliday, Michael, K.C.OwnerBOARD MEMBER, ownership code NA, individual
Sep 16, 2016 to presentfactForm ADV
← KOBURGER, DAVID, ROBERTOwnerVICE PRESIDENT, ownership code C, individual
Dec 8, 2011 to presentfactForm ADV

Registered with (20)

← David KeelAdvisorregistration: previous registration
Jan 17, 2013 to Dec 31, 2017factForm ADV
← EDWARD THEODORE KEMMAdvisorregistration: previous registration
Apr 7, 2015 to Dec 31, 2017factForm ADV
← VICTOR VERNON SANDERSAdvisorregistration: previous registration
Feb 17, 2009 to Dec 31, 2017factForm ADV
← FREDERICK SAMUEL JOYCE, JR.Advisorregistration: previous registration
Nov 4, 2002 to Sep 21, 2017factForm ADV
← ALAN DEAN BUSHAdvisorregistration: previous registration
Nov 4, 2002 to Sep 21, 2017factForm ADV
← Katherine Jeanette CathcartAdvisorregistration: previous registration
Nov 15, 2002 to Aug 4, 2017factForm ADV
← JENNIFER WRIGHT HEERENAdvisorregistration: previous registration
Nov 18, 2003 to Mar 9, 2017factForm ADV
← ERNST MAHLERAdvisorregistration: previous registration
Apr 26, 2010 to Mar 7, 2017factForm ADV
← CHERYL LYNN UNDERWOODAdvisorregistration: previous registration
Dec 11, 2009 to Jan 25, 2017factForm ADV
← Mark Norwood LindblomAdvisorregistration: previous registration
Jun 7, 2013 to Jan 6, 2017factForm ADV
← JOHN BOYD WHITLEDGEAdvisorregistration: previous registration
Nov 13, 2002 to Nov 16, 2016factForm ADV
← Karla RansdellAdvisorregistration: previous registration
Jun 15, 2016 to Sep 9, 2016factForm ADV
← CARL David ROBINSONAdvisorregistration: previous registration
Dec 11, 2014 to Jun 29, 2016factForm ADV
← MARY ELIZABETH FUGLERAdvisorregistration: previous registration
Jul 8, 2014 to Jun 30, 2015factForm ADV
← KIMBERLY FAITH SOWERSAdvisorregistration: previous registration
Sep 26, 2006 to Sep 30, 2014factForm ADV
← SHANE AUSTIN MORROWAdvisorregistration: previous registration
Sep 23, 2004 to Mar 6, 2013factForm ADV
← ANDREA BETH SHEIKHAdvisorregistration: previous registration
Aug 27, 2004 to Oct 19, 2012factForm ADV
← MARIBETH BATESAdvisorregistration: previous registration
Dec 13, 2004 to Oct 15, 2012factForm ADV
← SYDNEY LEA HALEAdvisorregistration: previous registration
Sep 9, 2010 to May 18, 2012factForm ADV
← CAROL ANN MULCAHYAdvisorregistration: previous registration
Oct 1, 2004 to May 23, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c880f58d-3927-8dcf-0422-a7f5489ff3be
First observed: Dec 8, 2011
Last observed: Nov 8, 2017 107 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

INDEPENDENT PORTFOLIO CONSULTANTS, INC.

CRD 120420

BOCA RATON, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c880f58d-3927-8dcf-0422-a7f5489ff3be

Data as of Nov 8, 2017 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:57 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BUSH, ALAN, DEAN

VICE CHAIRMAN

yes

10/2016

Dec 8, 2011

Nov 8, 2017

FLEMING, MICHAEL, ANDREW

CHIEF EXECUTIVE OFFICER, DIRECTOR & CCO

yes

08/2017

Jun 10, 2016

Nov 8, 2017

Halliday, Michael, K.C.

BOARD MEMBER

yes

08/2016

Sep 16, 2016

Nov 8, 2017

JOYCE, JR., FREDERICK, SAMUEL

TREASURER, SECRETARY & EXECUTIVE VICE PRESIDENT

yes

02/2005

Dec 8, 2011

Nov 8, 2017

KAUL, ARUN

PRESIDENT & CHIEF OPERATING OFFICER & CHIEF INVESTMENT OFFICER

yes

10/2016

Sep 16, 2016

Nov 8, 2017

KOBURGER, DAVID, ROBERT

VICE PRESIDENT

yes

11/2001

Dec 8, 2011

Nov 8, 2017

MOTHERWELL, JOHN, DAVID

NATIONAL SALES MANAGER

yes

01/2015

Sep 16, 2016

Nov 8, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BLUE SHORES CAPITAL MANAGEMENT LLC

n/a

Former SEC adviser

$25.5M

n/a

IPC PRIVATE WEALTH PARTNERS, LLC

n/a

Former SEC adviser

$4.7M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 31, 2017

$2.0B

$378M

n/a

2015

Mar 31, 2016

$2.1B

$393M

n/a

2014

Mar 31, 2015

$2.4B

$574M

n/a

2013

Feb 7, 2014

$2.1B

$384M

n/a

2012

Mar 26, 2013

$2.0B

$286M

n/a

2011

Mar 30, 2012

$1.8B

$225M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$2.0B

$2.1B

-0.6%

$2.1B

-0.9%

n/a