DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

R••• A••••••• C•••

Former SEC-registered adviserCRD 104832SEC 801-15442IAPD
Latest filing Jun 18, 2020
First filing on the tape Feb 8, 2012 · 11 filings
RAUM
$66.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$66.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$66.2M as of Mar 9, 2020
Feb 8, 2012$62.3M then
HNW client RAUM$37.9M as of Mar 9, 2020
Feb 14, 2018$37.1M then
State-registered IARs (5.B.3)0 as of Mar 9, 2020
Feb 8, 20120 then
Employees (5.A)3 as of Mar 9, 2020
Feb 7, 20133 then
Private funds: no history
RAUM -0.6% over the last fiscal year-0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 18, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$408,556derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.6%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-28%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • High-net-worth individuals$37.9M57%
  • Individuals$28.3M43%
Individual clients
49reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
162reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R•••• A•••••• M•••••• · President/Chief Compliance Officercontrol
        since 11/1994 · owns 75% or more
      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 · 207 to 162
        Dec 3, 2019 to Mar 9, 2020
      • Individual clients · 76 to 49
        Dec 3, 2019 to Mar 9, 2020
      • Discretionary RAUM · $66.6M to $66.2M
        Dec 3, 2019 to Mar 9, 2020
      • HNW RAUM · $32.4M to $37.9M
        Dec 3, 2019 to Mar 9, 2020
      • Individual RAUM · $34.2M to $28.3M
        Dec 3, 2019 to Mar 9, 2020
      • RAUM · $66.6M to $66.2M
        Dec 3, 2019 to Mar 9, 2020
      • Accounts · 221 to 207
        Feb 14, 2018 to Feb 28, 2019
      • Advisory activities · 2 to 1
        Feb 14, 2018 to Feb 28, 2019
      • HNW clients · 20 to 21
        Feb 14, 2018 to Feb 28, 2019
      • Individual clients · 84 to 76
        Feb 14, 2018 to Feb 28, 2019
      • Discretionary RAUM · $70.7M to $66.6M
        Feb 14, 2018 to Feb 28, 2019
      • HNW RAUM · $37.1M to $32.4M
        Feb 14, 2018 to Feb 28, 2019
      • Individual RAUM · $34.1M to $34.2M
        Feb 14, 2018 to Feb 28, 2019
      • Non-discretionary RAUM · $493,414 to $0
        Feb 14, 2018 to Feb 28, 2019
      • RAUM · $71.2M to $66.6M
        Feb 14, 2018 to Feb 28, 2019
      • Accounts · 235 to 221
        Mar 17, 2017 to Feb 14, 2018
      • Advisory employees · 1 to 2
        Mar 17, 2017 to Feb 14, 2018
      • HNW clients · unset to 20.0
        Mar 17, 2017 to Feb 14, 2018
      • Individual clients · unset to 84.0
        Mar 17, 2017 to Feb 14, 2018
      • Financial planning clients · unset to 0
        Mar 17, 2017 to Feb 14, 2018
      • Other offices · unset to 0.0
        Mar 17, 2017 to Feb 14, 2018
      • Discretionary RAUM · $67.7M to $70.7M
        Mar 17, 2017 to Feb 14, 2018
      • HNW RAUM · unset to 37090481.0
        Mar 17, 2017 to Feb 14, 2018
      • Individual RAUM · unset to 34136750.0
        Mar 17, 2017 to Feb 14, 2018
      • Non-discretionary RAUM · $439,235 to $493,414
        Mar 17, 2017 to Feb 14, 2018
      • RAUM · $68.1M to $71.2M
        Mar 17, 2017 to Feb 14, 2018
      • Accounts · 254 to 235
        Mar 17, 2016 to Mar 17, 2017
      • Financial planning clients · 0 to unset
        Mar 17, 2016 to Mar 17, 2017
      • Discretionary RAUM · $67.1M to $67.7M
        Mar 17, 2016 to Mar 17, 2017
      • Non-discretionary RAUM · $0 to $439,235
        Mar 17, 2016 to Mar 17, 2017
      • RAUM · $67.1M to $68.1M
        Mar 17, 2016 to Mar 17, 2017
      • Accounts · 272 to 254
        Mar 3, 2015 to Mar 17, 2016
      • Discretionary RAUM · $73.9M to $67.1M
        Mar 3, 2015 to Mar 17, 2016
      • RAUM · $73.9M to $67.1M
        Mar 3, 2015 to Mar 17, 2016
      • Accounts · 281 to 272
        Feb 26, 2014 to Mar 3, 2015
      • Discretionary RAUM · $74.0M to $73.9M
        Feb 26, 2014 to Mar 3, 2015
      • RAUM · $74.0M to $73.9M
        Feb 26, 2014 to Mar 3, 2015
      • Accounts · 282 to 281
        Feb 7, 2013 to Feb 26, 2014
      • Discretionary RAUM · $66.3M to $74.0M
        Feb 7, 2013 to Feb 26, 2014
      • RAUM · $66.3M to $74.0M
        Feb 7, 2013 to Feb 26, 2014
      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