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
S••••••• I••••••••• G••••• I•••
Latest filing Oct 6, 2016
First filing on the tape Apr 2, 2012 · 9 filings
RAUM
$801M
reported, Item 5.F
Discretionary
97%
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
16
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$801M as of Mar 30, 2016
Apr 2, 2012$508M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 30, 2016
Apr 2, 20120 then
Employees (5.A)16 as of Mar 30, 2016
Mar 28, 201315 then
Private funds: no history
RAUM +3.3% over the last fiscal year+9.5% a year over threeIARs 7 to 10
Practice profile
derived from the filing of Oct 6, 2016; every figure names its basis
- RAUM per advisor
- $80.1MderivedRAUM 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
- $813,412derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +43%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 985reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- C•••• C• L•• to A••••••••• L••Mar 28, 2017 · Other
- K•••• K•••• P•••••• to A••••••••• L••Mar 28, 2017 · Other
- D••••• R••••••• R•• to A••••••••• L••Feb 9, 2017 · Other
- T•••• P••••••••• to A••••••••• L••Feb 9, 2017 · Other
- N•••••• A•• M••••••• to A••••••••• L••Feb 9, 2017 · Other
- H•••• A•• D•••• to A••••••••• L••Feb 9, 2017 · Other
- N•••• P••••••••• L•••••••• to A••••••••• L••Feb 9, 2017 · Other
- K•••••••• A•• S••••••• to A••••••••• L••Dec 27, 2016 · Other
Joined, latest
- C•••• C• L•• from E•••••• F•••••••• E••••••Jan 6, 2016 · Other
- K•••••••• A•• S••••••• from B•••••• • J••••••••• I•••••••••Jun 6, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A••••••••• L••Mar 28, 2017 · Mountain View, Ca
- 5 left for A••••••••• L••Feb 9, 2017 · Mountain View, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• L•••• M••••••• · Cfo And Ccocontrolsince 10/2004 · owns 5% to 10%
- D••••• H••••• A•• · Ceo, Presidentcontrolsince 05/2004 · owns 50% to 75%
- K••••••••• J•••• D•••••• · Vice President, Director Of Portfolio Managementcontrolsince 10/2012 · owns 10% to 25%
- L••••••••• N••••• P••••••••• · Wealth Advisor, Principalsince 01/2016 · owns 5% to 10%
- P••••••••• T•••• · Wealth Advisor, Principalsince 01/2016 · owns 5% to 10%
- S•••••••• K••••••••• A•• · Wealth Advisor, Principalsince 01/2016 · 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
- Advisory employees · 15 to 16Jan 28, 2016 to Mar 30, 2016
- BD registered reps · 9 to 0Jan 28, 2016 to Mar 30, 2016
- Employees · 15 to 16Jan 28, 2016 to Mar 30, 2016
- State-registered IARs · 7 to 10Jan 28, 2016 to Mar 30, 2016
- Accounts · 972 to 985Mar 30, 2015 to Jan 28, 2016
- Discretionary RAUM · $748M to $778MMar 30, 2015 to Jan 28, 2016
- Non-discretionary RAUM · $27.3M to $23.2MMar 30, 2015 to Jan 28, 2016
- RAUM · $775M to $801MMar 30, 2015 to Jan 28, 2016
- Accounts · 960 to 972Mar 28, 2014 to Mar 30, 2015
- Advisory employees · 8 to 15Mar 28, 2014 to Mar 30, 2015
- Employees · 14 to 15Mar 28, 2014 to Mar 30, 2015
- State-registered IARs · 6 to 7Mar 28, 2014 to Mar 30, 2015
- Discretionary RAUM · $710M to $748MMar 28, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $23.9M to $27.3MMar 28, 2014 to Mar 30, 2015
- RAUM · $733M to $775MMar 28, 2014 to Mar 30, 2015
- Accounts · 828 to 960Mar 28, 2013 to Mar 28, 2014
- Employees · 15 to 14Mar 28, 2013 to Mar 28, 2014
- Discretionary RAUM · $591M to $710MMar 28, 2013 to Mar 28, 2014
- Non-discretionary RAUM · $19.1M to $23.9MMar 28, 2013 to Mar 28, 2014
- RAUM · $610M to $733MMar 28, 2013 to Mar 28, 2014
- Accounts · 836 to 828Apr 2, 2012 to Mar 28, 2013
- Advisory employees · unset to 8.0Apr 2, 2012 to Mar 28, 2013
- BD registered reps · unset to 9.0Apr 2, 2012 to Mar 28, 2013
- Employees · unset to 15.0Apr 2, 2012 to Mar 28, 2013
- State-registered IARs · 0 to 6Apr 2, 2012 to Mar 28, 2013
- Discretionary RAUM · $490M to $591MApr 2, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $17.3M to $19.1MApr 2, 2012 to Mar 28, 2013
- RAUM · $508M to $610MApr 2, 2012 to Mar 28, 2013
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