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
I•• A•••• M••••••••• I••
Latest filing Feb 25, 2021
First filing on the tape Jan 11, 2012 · 15 filings
RAUM
$156M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$152M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$156M as of Feb 25, 2021
Jan 11, 2012$192M then
HNW client RAUM$150M as of Feb 25, 2021
Mar 28, 2018$131M then
State-registered IARs (5.B.3)1 as of Feb 25, 2021
Feb 27, 20133 then
Employees (5.A)4 as of Feb 25, 2021
Feb 27, 201312 then
Private funds1 as of Mar 28, 2018
Jan 11, 20123 then
RAUM +0.0% over the last fiscal year+4.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 25, 2021; every figure names its basis
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 113derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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$150M96%
- Corporations and businesses$3.7M2.4%
- Individuals$2.1M1.3%
- Charitable organizations$304,8020.2%
- Pension and profit-sharing plans$41,4570.0%
- Individual clients
- 7reported
- HNW clients
- 106reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 126reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
- J•••• M••••• S•••••• to H••••••• I••••••••• A•••••••Dec 31, 2020 · RIA to a state-registered adviser
- W•••••• K••• L••• to M••••• A•••• M•••••••••Feb 10, 2017 · Other
- A••• J••• R•••• to F•••••••• A•••••••• I••••••••• M•••••••••Jun 17, 2015 · Other
- K••• T••••• K••••• to T•• C•••••• W••••• A•••••••• L••Dec 31, 2011 · Other
- S•••••• S•••••• to A•••• P••••••• • M••••••••• I•••Aug 11, 2011 · Other
- F••••••• D•••• C•••••• to R•••••• I•••••••••May 9, 2007 · Other
- D•••••• J••••• C••••••• to A••••••••• L••Apr 4, 2006 · Other
- S•••••• E•••• S•••••• to S•••••• I••••••••• M••••••••• L••Jan 11, 2006 · Other
- P••••••• A• T•••••• to F•• S••••••••• C•••••••••Nov 9, 2005 · Other
- S••••• P••• B••••••••• to C•••••• A•••••••• L••Oct 11, 2005 · Other
- K•••• A••• J•••• to D• F•••••••••May 5, 2005 · Other
- D••••• C••••••• R••••••• to V•••••• W••• A•••••••• I•••Apr 6, 2005 · Other
- S••••• K••• N••• to S••••• C•••••• M•••••••••Jul 1, 2004 · Other
- M••• A•••• B••••••• to T•• A•••••• S•••••• I•••Apr 30, 2003 · Other
Joined, latest
- W•••••• K••• L••• from D•••••••• C•••••• M••••••••• L••Aug 22, 2016 · Other
- F••••••• D•••• C•••••• from P•••••••• I••••••••• I•••Sep 16, 2004 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• V••••••• C•••••• P•••••••• L•••no longer reported | Hedge Fund | $101,111 | 12 | Jan 11, 2012 |
| K•••• L••••••• P•••••••• L•••no longer reported | Hedge Fund | $6,000 | 39 | Jan 11, 2012 |
| K•••• P•••••••• L•••no longer reported | Hedge Fund | $4,500 | 15 | Jan 11, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• J••••• M••••• · Ceo,Cio,Directorcontrolsince 11/1981 · owns 50% to 75%
- S••••••• V••••• L••• · Directorcontrolsince 08/2003 · owns 10% to 25%
- H••••• L•••• A•• · Chief Compliance Officersince 01/2009 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 140 to 126Mar 21, 2019 to May 20, 2020
- Corporate clients · 10 to 11Mar 21, 2019 to May 20, 2020
- HNW clients · 118 to 106Mar 21, 2019 to May 20, 2020
- Individual clients · 9 to 7Mar 21, 2019 to May 20, 2020
- Pooled vehicle clients · 1 to 0Mar 21, 2019 to May 20, 2020
- Discretionary RAUM · $148M to $156MMar 21, 2019 to May 20, 2020
- HNW RAUM · $143M to $150MMar 21, 2019 to May 20, 2020
- Individual RAUM · $1.7M to $2.1MMar 21, 2019 to May 20, 2020
- Non-discretionary RAUM · $126,960 to $0Mar 21, 2019 to May 20, 2020
- Pension RAUM · $41,924 to $41,457Mar 21, 2019 to May 20, 2020
- Pooled vehicle RAUM · $126,960 to $0Mar 21, 2019 to May 20, 2020
- RAUM · $149M to $156MMar 21, 2019 to May 20, 2020
- Accounts · 139 to 140Mar 28, 2018 to Mar 21, 2019
- Corporate clients · 9 to 10Mar 28, 2018 to Mar 21, 2019
- HNW clients · 115 to 118Mar 28, 2018 to Mar 21, 2019
- Individual clients · 10 to 9Mar 28, 2018 to Mar 21, 2019
- Pooled vehicle clients · 2 to 1Mar 28, 2018 to Mar 21, 2019
- Private funds · 1 to unsetMar 28, 2018 to Mar 21, 2019
- Discretionary RAUM · $139M to $148MMar 28, 2018 to Mar 21, 2019
- HNW RAUM · $131M to $143MMar 28, 2018 to Mar 21, 2019
- Individual RAUM · $2.8M to $1.7MMar 28, 2018 to Mar 21, 2019
- Non-discretionary RAUM · $494,336 to $126,960Mar 28, 2018 to Mar 21, 2019
- Pension RAUM · $57,030 to $41,924Mar 28, 2018 to Mar 21, 2019
- Pooled vehicle RAUM · $494,336 to $126,960Mar 28, 2018 to Mar 21, 2019
- RAUM · $139M to $149MMar 28, 2018 to Mar 21, 2019
- Accounts · 192 to 139Mar 13, 2017 to Mar 28, 2018
- Advisory employees · 1 to 2Mar 13, 2017 to Mar 28, 2018
- Charity clients · unset to 0.0Mar 13, 2017 to Mar 28, 2018
- Corporate clients · unset to 9.0Mar 13, 2017 to Mar 28, 2018
- HNW clients · unset to 115.0Mar 13, 2017 to Mar 28, 2018
- Individual clients · unset to 10.0Mar 13, 2017 to Mar 28, 2018
- Pension plan clients · unset to 0.0Mar 13, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 2.0Mar 13, 2017 to Mar 28, 2018
- Employees · 2 to 4Mar 13, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 13, 2017 to Mar 28, 2018
- Discretionary RAUM · $140M to $139MMar 13, 2017 to Mar 28, 2018
- HNW RAUM · unset to 131480783.0Mar 13, 2017 to Mar 28, 2018
- Individual RAUM · unset to 2797748.0Mar 13, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $479,421 to $494,336Mar 13, 2017 to Mar 28, 2018
- Pension RAUM · unset to 57030.0Mar 13, 2017 to Mar 28, 2018
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