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.

Former SEC-registered adviser

Symons Capital Management Inc

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 104817SEC 801-18876IAPD
Latest filing May 26, 2021
First filing on the tape Nov 14, 2011 · 22 filings
RAUM
$214M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
77%
$164M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$214M as of Mar 12, 2021
Mar 16, 2012$446M then
HNW client RAUM$128M as of Mar 12, 2021
Mar 28, 2018$163M then
State-registered IARs (5.B.3)6 as of Mar 12, 2021
Mar 16, 20120 then
Employees (5.A)9 as of Mar 12, 2021
Mar 27, 201311 then
Private funds: no history
RAUM -11% over the last fiscal year-20% a year over threeIARs 6 to 6
Practice profile
derived from the filing of May 26, 2021; every figure names its basis
RAUM per advisor
$35.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$890,867derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$128M60%
  • Individuals$35.6M17%
  • Corporations and businesses$15.3M7.1%
  • Pension and profit-sharing plans$14.2M6.7%
  • Investment companies$11.9M5.6%
  • Charitable organizations$8.6M4.0%
Individual clients
79reported
HNW clients
54reported
Pension plan clients
6reported
Charitable clients
3reported
Accounts
240reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Vicki Lynn Ellis · Chief Compliance Officer And Co-Chief Executive Officercontrol
    since 01/2021 · owns less than 5%
  • Lee Francois Fournier · Chief Operating Officer And Co-Chief Executive Officercontrol
    since 01/2021 · owns less than 5%
  • Edward Colin Symons · Chief Investment Officer And Portfolio Managercontrol
    since 06/2001 · owns 75% or more
  • Leonard Edward Symons · Chairman And Foundercontrol
    since 11/2017 · 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 · 247 to 240
    Feb 1, 2021 to Mar 12, 2021
  • Corporate clients · 15 to 12
    Feb 1, 2021 to Mar 12, 2021
  • HNW clients · 56 to 54
    Feb 1, 2021 to Mar 12, 2021
  • Individual clients · 86 to 79
    Feb 1, 2021 to Mar 12, 2021
  • Discretionary RAUM · $237M to $210M
    Feb 1, 2021 to Mar 12, 2021
  • HNW RAUM · $137M to $128M
    Feb 1, 2021 to Mar 12, 2021
  • Individual RAUM · $38.3M to $35.6M
    Feb 1, 2021 to Mar 12, 2021
  • Non-discretionary RAUM · $3.8M to $3.6M
    Feb 1, 2021 to Mar 12, 2021
  • Pension RAUM · $15.0M to $14.2M
    Feb 1, 2021 to Mar 12, 2021
  • RAUM · $241M to $214M
    Feb 1, 2021 to Mar 12, 2021
  • Accounts · 310 to 247
    Jun 25, 2019 to Mar 27, 2020
  • Advisory employees · 8 to 6
    Jun 25, 2019 to Mar 27, 2020
  • Charity clients · 4 to 3
    Jun 25, 2019 to Mar 27, 2020
  • Corporate clients · 20 to 15
    Jun 25, 2019 to Mar 27, 2020
  • HNW clients · 52 to 56
    Jun 25, 2019 to Mar 27, 2020
  • Individual clients · 123 to 86
    Jun 25, 2019 to Mar 27, 2020
  • Pension plan clients · 8 to 6
    Jun 25, 2019 to Mar 27, 2020
  • Employees · 11 to 9
    Jun 25, 2019 to Mar 27, 2020
  • State-registered IARs · 8 to 6
    Jun 25, 2019 to Mar 27, 2020
  • Other offices · 1 to 0
    Jun 25, 2019 to Mar 27, 2020
  • Discretionary RAUM · $264M to $237M
    Jun 25, 2019 to Mar 27, 2020
  • HNW RAUM · $111M to $137M
    Jun 25, 2019 to Mar 27, 2020
  • Individual RAUM · $47.0M to $38.3M
    Jun 25, 2019 to Mar 27, 2020
  • Non-discretionary RAUM · $3.5M to $3.8M
    Jun 25, 2019 to Mar 27, 2020
  • Pension RAUM · $49.0M to $15.0M
    Jun 25, 2019 to Mar 27, 2020
  • RAUM · $267M to $241M
    Jun 25, 2019 to Mar 27, 2020
  • Accounts · 363 to 310
    Mar 28, 2018 to Mar 26, 2019
  • Advisory employees · 9 to 8
    Mar 28, 2018 to Mar 26, 2019
  • Charity clients · 6 to 4
    Mar 28, 2018 to Mar 26, 2019
  • Corporate clients · 26 to 20
    Mar 28, 2018 to Mar 26, 2019
  • HNW clients · 70 to 52
    Mar 28, 2018 to Mar 26, 2019
  • Individual clients · 143 to 123
    Mar 28, 2018 to Mar 26, 2019
  • Pension plan clients · 17 to 8
    Mar 28, 2018 to Mar 26, 2019
  • Employees · 12 to 11
    Mar 28, 2018 to Mar 26, 2019
  • Discretionary RAUM · $415M to $264M
    Mar 28, 2018 to Mar 26, 2019
  • HNW RAUM · $163M to $111M
    Mar 28, 2018 to Mar 26, 2019
  • Individual RAUM · $58.4M to $47.0M
    Mar 28, 2018 to Mar 26, 2019
  • Non-discretionary RAUM · $5.5M to $3.5M
    Mar 28, 2018 to Mar 26, 2019
  • Pension RAUM · $75.1M to $49.0M
    Mar 28, 2018 to Mar 26, 2019
  • RAUM · $420M to $267M
    Mar 28, 2018 to Mar 26, 2019
Signals
2 dated events
  • Joseph Louis Iovannone (President) no longer on Schedule A of Symons Capital Management Inc (listed 2019-03-26, absent 2019-06-25)
    Jun 25, 2019 · Control person left · inference
  • Symons Capital Management Inc reported RAUM $267.0M, down 36% from $420.4M (2018-03-28 to 2019-03-26)
    Mar 26, 2019 · RAUM change · 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