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
W••••••• • C•
Latest filing Mar 26, 2021
First filing on the tape Nov 9, 2011 · 40 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
98%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$1.2B as of Mar 27, 2020
Mar 29, 2012$997M then
HNW client RAUM$810M as of Mar 27, 2020
Mar 30, 2018$968M then
State-registered IARs (5.B.3)13 as of Mar 27, 2020
Mar 29, 20120 then
Employees (5.A)25 as of Mar 27, 2020
Mar 28, 201328 then
Private funds: no history
RAUM +24% over the last fiscal year+7.5% a year over threeIARs 12 to 13
Practice profile
derived from the filing of Mar 26, 2021; every figure names its basis
- RAUM per advisor
- $89.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.9MderivedHNW RAUM over HNW clients
- Average account
- $823,504derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $104M, 60 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$810M69%
- Individuals$332M28%
- Charitable organizations$24.1M2.1%
- Corporations and businesses$1.7M0.1%
- Individual clients
- 207reported
- HNW clients
- 102reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 1,418reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $104M for 60 clientsreported
- 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•••••• E••••• P••••••• to R••••••••• C•••••• M•••••••••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
- C•••• S••••• J•••• to R••••••••• C•••••• M•••••••••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
- B•••• R•••••• K•••• to R••••••••• C•••••• M•••••••••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
- W•••• M•••••• J•••• to R••••••••• C•••••• M•••••••••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
- B•••• J•••• H•••••••• to R••••••••• C•••••• M•••••••••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
- M•• L••• C••••••• to R••••••••• C•••••• M•••••••••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
- M•••••• A••••• L••••• to R••••••••• C•••••• M•••••••••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
- M••••• T••••• K•••• to R••••••••• C•••••• M•••••••••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
- S•••• A••• M•••••• to R••••••••• C•••••• M•••••••••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
- M•••• A•• S••••••• to R••••••••• C•••••• M•••••••••Mar 16, 2021 · RIA to affiliated broker-dealer or bank
- M••••••• L• P••••• to R••••••••• C•••••• M•••••••••Mar 15, 2021 · RIA to affiliated broker-dealer or bank
- S•••••• A•••••• M••• to B••••• D••••••• F•••• L••Jul 23, 2018 · RIA to RIA
- C•••••••• J• S•••••• to S•••••• L••Nov 4, 2016 · Other
- A••• J•••• S•••••• to C•••••• S••••• C•••••• L••Jan 19, 2012 · Other
- J••••• R•••••• J•••••• to C••••••• F•••••••• A••••••• I••Dec 12, 2011 · Other
Joined, latest
- M••••• T••••• K•••• from K•••••• W••••• M•••••••••Nov 20, 2020 · RIA to RIA
- B•••• R•••••• K•••• from E•••••••• A•••••••• L••Feb 6, 2018 · Other
- C•••••• E••••• P••••••• from A••••• A•• P••••••• S•••••••Sep 25, 2014 · Other
- B•••• J•••• H•••••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Oct 1, 2007 · Other
- M•• L••• C••••••• from B•• H••••• F•••••••• A•••••••• I••Oct 1, 2007 · Other
- W•••• M•••••• J•••• from J•• F•••••••• G•••• L••Mar 1, 2007 · Other
- M••• J••••• D•••• from E•••••• F•••••••• S•••••••Sep 19, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 11 left for R••••••••• C•••••• M•••••••••Mar 15, 2021 · Oak Brook, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• M••• L•••• C•••••• · Senior Vice Presidentcontrolsince 09/2007 · owns less than 5%
- H••••••••• B••••• J•••• · Senior Vice Presidentcontrolsince 06/2007 · owns less than 5%
- J••••• W••••• M•••••• · President, Financial P•••••••controlsince 01/2007 · owns less than 5%
- L••••• R•••••• M••••• · Senior Vice Presidentcontrolsince 08/2012 · owns less than 5%
- P••••••••• D••••• R••••• · Senior Vice President And Chief Investment Officercontrolsince 01/2006 · owns less than 5%
- P•••••• A••••••• P••••• · Chief Compliance Officercontrolsince 10/2017 · owns less than 5%
Entity owners
- A••••••••• B•••••••• · Sole Shareholderindirect · owns 75% or more of A••••••••• B•••• N••• · public reporting company
- A••••••••• B•••• N••• · Sole Shareholderindirect · owns 75% or more of A••••••••• T•••• C••••••• N•••
Related persons
Schedule D 7.A
- A••••••••• B•••• N•••y
- A••••••••• I••••••••• S•••••••• I•••broker-dealerinvestment adviserreal estatenRAUM $1.2B
- A••••••••• T•••• C••••••• N•••pooled vehicle sponsorcustodiany
- K•••••• A•••• M••••••••• L••investment advisernRAUM $2.9B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,392 to 1,418Jun 12, 2019 to Mar 27, 2020
- Advisory employees · 16 to 17Jun 12, 2019 to Mar 27, 2020
- Charity clients · 5 to 6Jun 12, 2019 to Mar 27, 2020
- HNW clients · 103 to 102Jun 12, 2019 to Mar 27, 2020
- Individual clients · 221 to 207Jun 12, 2019 to Mar 27, 2020
- Pension plan clients · unset to 0.0Jun 12, 2019 to Mar 27, 2020
- Assets in custody · $98.1M to $104MJun 12, 2019 to Mar 27, 2020
- State-registered IARs · 12 to 13Jun 12, 2019 to Mar 27, 2020
- Discretionary RAUM · $858M to $1.1BJun 12, 2019 to Mar 27, 2020
- HNW RAUM · $681M to $810MJun 12, 2019 to Mar 27, 2020
- Individual RAUM · $235M to $332MJun 12, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $81.9M to $60.0MJun 12, 2019 to Mar 27, 2020
- Pension RAUM · $2.8M to $0Jun 12, 2019 to Mar 27, 2020
- RAUM · $940M to $1.2BJun 12, 2019 to Mar 27, 2020
- Accounts · 1,457 to 1,392Feb 21, 2019 to Mar 27, 2019
- Advisory employees · 22 to 16Feb 21, 2019 to Mar 27, 2019
- Advisory activities · 5 to 4Feb 21, 2019 to Mar 27, 2019
- Charity clients · 6 to 5Feb 21, 2019 to Mar 27, 2019
- HNW clients · 264 to 103Feb 21, 2019 to Mar 27, 2019
- Individual clients · 62 to 221Feb 21, 2019 to Mar 27, 2019
- Assets in custody · $116M to $98.1MFeb 21, 2019 to Mar 27, 2019
- Employees · 26 to 25Feb 21, 2019 to Mar 27, 2019
- Financial planning clients · 251-500 to 101-250Feb 21, 2019 to Mar 27, 2019
- State-registered IARs · 13 to 12Feb 21, 2019 to Mar 27, 2019
- Discretionary RAUM · $923M to $858MFeb 21, 2019 to Mar 27, 2019
- HNW RAUM · $968M to $681MFeb 21, 2019 to Mar 27, 2019
- Individual RAUM · $29.6M to $235MFeb 21, 2019 to Mar 27, 2019
- Non-discretionary RAUM · $124M to $81.9MFeb 21, 2019 to Mar 27, 2019
- Pension RAUM · $2.9M to $2.8MFeb 21, 2019 to Mar 27, 2019
- RAUM · $1.0B to $940MFeb 21, 2019 to Mar 27, 2019
- Pension RAUM · $2.9M to $2.9MJul 25, 2018 to Jan 23, 2019
- Assets in custody · $114M to $116MMar 30, 2018 to Apr 5, 2018
- Pension RAUM · $25.3M to $2.9MMar 30, 2018 to Apr 5, 2018
- Accounts · 1,437 to 1,457Mar 5, 2018 to Mar 30, 2018
- Charity clients · unset to 6.0Mar 5, 2018 to Mar 30, 2018
- HNW clients · unset to 264.0Mar 5, 2018 to Mar 30, 2018
- Individual clients · unset to 62.0Mar 5, 2018 to Mar 30, 2018
- Pooled vehicle clients · unset to 0.0Mar 5, 2018 to Mar 30, 2018
- Employees · 25 to 26Mar 5, 2018 to Mar 30, 2018
- State-registered IARs · 11 to 13Mar 5, 2018 to Mar 30, 2018
Signals
14 dated events
- Jorge Christopher Del Moral-Niles (Director - Board Of Directors) no longer on Schedule A of W••••••• • C• (listed 2020-10-15, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- David Michael Kuipers (Director - Board Of Directors) no longer on Schedule A of W••••••• • C• (listed 2020-10-15, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Parker John Thayer (Chief Executive Officer) no longer on Schedule A of W••••••• • C• (listed 2020-10-15, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Richard Jason Wilke (Director - Board Of Directors) no longer on Schedule A of W••••••• • C• (listed 2020-10-15, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Jo T•••• L••••• (Director - Board Of Directors) no longer on Schedule A of W••••••• • C• (listed 2020-10-15, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- T••••• B•••• K•••• (Treasurer) no longer on Schedule A of W••••••• • C• (listed 2020-10-15, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Anthony John Utz (Chairman - Board Of Directors) no longer on Schedule A of W••••••• • C• (listed 2020-10-15, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- James Patrick Hickey (President, Chief Executive Officer, Director) no longer on Schedule A of W••••••• • C• (listed 2020-07-07, absent 2020-08-24)Aug 24, 2020 · Control person left · inference
- Michael William Bohn (Chairman - Board Of Directors) no longer on Schedule A of W••••••• • C• (listed 2020-03-27, absent 2020-05-19)May 19, 2020 · Control person left · inference
- Anthony John Utz (Chairman - Board Of Directors) appeared on Schedule A of W••••••• • C•May 19, 2020 · Control person joined · fact
- Earl Robert Peckenpaugh (Senior Vice President) no longer on Schedule A of W••••••• • C• (listed 2019-03-27, absent 2019-06-12)Jun 12, 2019 · Control person left · inference
- T••••• B•••• K•••• (Treasurer) appeared on Schedule A of W••••••• • C•Feb 5, 2019 · Control person joined · fact
- Eugene William Thonn (President, Chief Executive Officer, Director) no longer on Schedule A of W••••••• • C• (listed 2018-07-25, absent 2019-01-23)Jan 23, 2019 · Control person left · inference
- Timothy Robert Watson (Treasurer) no longer on Schedule A of W••••••• • C• (listed 2018-07-25, absent 2019-01-23)Jan 23, 2019 · Control person left · inference
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