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••••• A•••• M••••••••• I•••
Latest filing Mar 19, 2025
First filing on the tape Mar 23, 2012 · 28 filings
SEC status approved since Aug 4, 1967
RAUM
$315M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$225M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$315M as of Mar 19, 2025
Mar 23, 2012$276M then
HNW client RAUM$198M as of Mar 19, 2025
Mar 21, 2018$112M then
State-registered IARs (5.B.3)3 as of Mar 19, 2025
Mar 22, 20131 then
Employees (5.A)5 as of Mar 19, 2025
Mar 22, 20137 then
Private funds1 as of Mar 31, 2017
Mar 23, 20121 then
RAUM +8.6% over the last fiscal year+3.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 19, 2025; every figure names its basis
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $27.7M, 20 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$198M63%
- Insurance companies$37.0M12%
- Corporations and businesses$29.4M9.3%
- Individuals$27.1M8.6%
- Pension and profit-sharing plans$13.8M4.4%
- Charitable organizations$10.3M3.3%
- Individual clients
- 48reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 214reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.7M for 20 clientsreported
- Compensation
- % of AUMreported
- 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
- S•••• C• B•••••• to W••••• E••••••••• A••••••• S•••••••• L••May 6, 2025 · RIA to affiliated broker-dealer or bank
- D••••••• B•••• to W••••• E••••••••• A••••••• S•••••••• L••May 6, 2025 · RIA to affiliated broker-dealer or bank
- J••••• Y••••• to W••••• E••••••••• A••••••• S•••••••• L••May 6, 2025 · RIA to affiliated broker-dealer or bank
- B•••• A•••••••• L•••• to R•• C•••••• M••••••• L••Sep 30, 2019 · RIA to affiliated broker-dealer or bank
- P••• S•••••• W•••• to B•••••••• I••Dec 6, 2002 · Other
Joined, latest
- B•••• A•••••••• L•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 15, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W••••• E••••••••• A••••••• S•••••••• L••May 6, 2025 · Boise, Id · Firm absorbed
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• F••• L•no longer reported | Hedge Fund | $17.8M | 16 | Mar 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••• C••••• · Presidentcontrolsince 02/2018 · owns 25% to 50%
- M•••••• M•••• R•• · Vice Presidentcontrolsince 02/2018 · owns less than 5%
- W•••••• J•••• S••••• · Chief Compliance Officercontrolsince 10/2004 · owns less than 5%
- Y•••••• J•••••• N••••••• · Vice Presidentcontrolsince 03/2012 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boise, Id · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 213 to 214Nov 20, 2024 to Mar 19, 2025
- Advisory employees · 4 to 3Nov 20, 2024 to Mar 19, 2025
- Corporate clients · unset to 9.0Nov 20, 2024 to Mar 19, 2025
- HNW clients · 65 to 52Nov 20, 2024 to Mar 19, 2025
- Individual clients · 33 to 48Nov 20, 2024 to Mar 19, 2025
- Assets in custody · $21.6M to $27.7MNov 20, 2024 to Mar 19, 2025
- Discretionary RAUM · $290M to $315MNov 20, 2024 to Mar 19, 2025
- HNW RAUM · $193M to $198MNov 20, 2024 to Mar 19, 2025
- Individual RAUM · $13.2M to $27.1MNov 20, 2024 to Mar 19, 2025
- Pension RAUM · $12.1M to $13.8MNov 20, 2024 to Mar 19, 2025
- RAUM · $290M to $315MNov 20, 2024 to Mar 19, 2025
- Accounts · 176 to 213Mar 20, 2023 to Feb 29, 2024
- Advisory employees · 3 to 4Mar 20, 2023 to Feb 29, 2024
- Corporate clients · 5.0 to unsetMar 20, 2023 to Feb 29, 2024
- HNW clients · 54 to 65Mar 20, 2023 to Feb 29, 2024
- Individual clients · 42 to 33Mar 20, 2023 to Feb 29, 2024
- Assets in custody · $18.1M to $21.6MMar 20, 2023 to Feb 29, 2024
- Employees · 4 to 5Mar 20, 2023 to Feb 29, 2024
- Discretionary RAUM · $256M to $290MMar 20, 2023 to Feb 29, 2024
- HNW RAUM · $151M to $193MMar 20, 2023 to Feb 29, 2024
- Individual RAUM · $27.6M to $13.2MMar 20, 2023 to Feb 29, 2024
- Pension RAUM · $11.1M to $12.1MMar 20, 2023 to Feb 29, 2024
- RAUM · $256M to $290MMar 20, 2023 to Feb 29, 2024
- Accounts · 155 to 176Mar 16, 2022 to Mar 20, 2023
- Corporate clients · 9 to 5Mar 16, 2022 to Mar 20, 2023
- HNW clients · 66 to 54Mar 16, 2022 to Mar 20, 2023
- Individual clients · 25 to 42Mar 16, 2022 to Mar 20, 2023
- Assets in custody · $46.0M to $18.1MMar 16, 2022 to Mar 20, 2023
- Employees · 5 to 4Mar 16, 2022 to Mar 20, 2023
- Discretionary RAUM · $287M to $256MMar 16, 2022 to Mar 20, 2023
- HNW RAUM · $175M to $151MMar 16, 2022 to Mar 20, 2023
- Individual RAUM · $11.3M to $27.6MMar 16, 2022 to Mar 20, 2023
- Pension RAUM · $12.2M to $11.1MMar 16, 2022 to Mar 20, 2023
- RAUM · $287M to $256MMar 16, 2022 to Mar 20, 2023
- Accounts · 102 to 155Feb 18, 2021 to Feb 22, 2022
- Corporate clients · 7 to 9Feb 18, 2021 to Feb 22, 2022
- HNW clients · 43 to 66Feb 18, 2021 to Feb 22, 2022
- Individual clients · 42 to 25Feb 18, 2021 to Feb 22, 2022
- Pension plan clients · 6.0 to unsetFeb 18, 2021 to Feb 22, 2022
- Assets in custody · $61.0M to $46.0MFeb 18, 2021 to Feb 22, 2022
Signals
5 dated events
- S••••• A•••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $315.2M)Jun 2, 2025 · Left the SEC roster · derived
- D••••••• B•••• left S••••• A•••• M••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-05-01)May 6, 2025 · Advisor changed firm · fact
- J••••• Y••••• left S••••• A•••• M••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-05-01)May 6, 2025 · Advisor changed firm · fact
- S•••• C• B•••••• left S••••• A•••• M••••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-05-01)May 6, 2025 · Advisor changed firm · fact
- S••••• A•••• M••••••••• I•••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Boise, ID): 3 of 3 registered, on the same dayMay 6, 2025 · Firm absorbed (people side) · derived
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