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
F•••••• C•••••• M••••••••• I•••
Latest filing Dec 22, 2020
First filing on the tape Nov 9, 2011 · 28 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$2.1M as of Mar 29, 2018
Mar 28, 2012$224M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2020
Mar 25, 20130 then
Employees (5.A)5 as of Mar 26, 2020
Mar 25, 20139 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 22, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 29reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- 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
Left, latest
- P••• G••••• D••••••• to F•••••• G••••• M•••••• L••Jan 2, 2013 · Other
- M•••••• O••• A•••• to R•• R•••••••• L••Aug 7, 2012 · Other
- G••••• D••• K••••• to F•••••••• A••••••• S•••••••• L••May 2, 2011 · Other
- P•••• R•• T••••• to S•••••• S••••••••• I•••May 2, 2011 · Other
- D•••• C••••••••• O•••••• to A•••••••• F•••• M••••••••• L••Mar 14, 2011 · Other
- D•••• H•••••• C••••••••• to C••••••••• C•••••• M••••••••• L••Jul 30, 2007 · Other
- J•••••• M•••••• S••••••• to L•• F•••••••• L••May 3, 2007 · Other
- B••••••• J••••• P••••• to O•••••••• F•••••••• C••••Oct 29, 2004 · Other
Joined, latest
- M•••••• O••• A•••• from S••••• A••• A•••• M••••••••• I•••Jul 27, 2011 · Other
- G••••• D••• K••••• from R••••••••• P••• A•••••••• L••Jan 11, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• P•••• G••••• · Chairman, President, Ceo, Cio, Ccocontrolsince 02/2013 · owns less than 5%
Entity owners
- W•••••••• C•••••• C••••••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••••• G••••• M•••••• L••investment advisernRAUM $92.4M
Advisers that list F•••••• C•••••• M••••••••• I••• as a related person
- 164741 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Individual clients · 32 to 29Jan 8, 2020 to Mar 26, 2020
- Accounts · 43.0 to unsetMar 29, 2018 to Mar 28, 2019
- Advisory activities · 1 to 2Mar 29, 2018 to Mar 28, 2019
- Individual clients · 38 to 32Mar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · 2072883.0 to unsetMar 29, 2018 to Mar 28, 2019
- Individual RAUM · $2.1M to $0Mar 29, 2018 to Mar 28, 2019
- Non-discretionary RAUM · 0.0 to unsetMar 29, 2018 to Mar 28, 2019
- RAUM · 2072883.0 to unsetMar 29, 2018 to Mar 28, 2019
- Accounts · 47 to 43Mar 30, 2017 to Mar 29, 2018
- Individual clients · unset to 38.0Mar 30, 2017 to Mar 29, 2018
- Other offices · unset to 1.0Mar 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $2.1M to $2.1MMar 30, 2017 to Mar 29, 2018
- Individual RAUM · unset to 2072883.0Mar 30, 2017 to Mar 29, 2018
- RAUM · $2.1M to $2.1MMar 30, 2017 to Mar 29, 2018
- Accounts · 55 to 47Nov 2, 2016 to Mar 30, 2017
- Discretionary RAUM · $2.7M to $2.1MNov 2, 2016 to Mar 30, 2017
- RAUM · $2.7M to $2.1MNov 2, 2016 to Mar 30, 2017
- Accounts · 67 to 55Mar 26, 2015 to Mar 28, 2016
- Employees · 6 to 5Mar 26, 2015 to Mar 28, 2016
- Discretionary RAUM · $4.7M to $2.7MMar 26, 2015 to Mar 28, 2016
- RAUM · $4.7M to $2.7MMar 26, 2015 to Mar 28, 2016
- Accounts · 91 to 67Jun 30, 2014 to Mar 26, 2015
- Advisory activities · 2 to 1Jun 30, 2014 to Mar 26, 2015
- Employees · 7 to 6Jun 30, 2014 to Mar 26, 2015
- Financial planning clients · unset to 0Jun 30, 2014 to Mar 26, 2015
- Discretionary RAUM · $5.0M to $4.7MJun 30, 2014 to Mar 26, 2015
- RAUM · $5.0M to $4.7MJun 30, 2014 to Mar 26, 2015
- Accounts · 406 to 91May 8, 2013 to Mar 31, 2014
- Advisory employees · 4 to 1May 8, 2013 to Mar 31, 2014
- Employees · 9 to 7May 8, 2013 to Mar 31, 2014
- Discretionary RAUM · $27.6M to $5.0MMay 8, 2013 to Mar 31, 2014
- RAUM · $27.6M to $5.0MMay 8, 2013 to Mar 31, 2014
- Accounts · 1,643 to 406Mar 11, 2013 to Mar 25, 2013
- Advisory activities · 4 to 2Mar 11, 2013 to Mar 25, 2013
- Employees · 10 to 9Mar 11, 2013 to Mar 25, 2013
- Insurance-licensed employees · 0 to 1Mar 11, 2013 to Mar 25, 2013
- State-registered IARs · 2 to 0Mar 11, 2013 to Mar 25, 2013
- Discretionary RAUM · $101M to $27.6MMar 11, 2013 to Mar 25, 2013
- RAUM · $101M to $27.6MMar 11, 2013 to Mar 25, 2013
- Related adviser · false to trueMar 11, 2013 to Mar 25, 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