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
R••• L••• A•••• M•••••••••
Legal name R••• L•••• I•••
Latest filing Mar 25, 2015
First filing on the tape Mar 15, 2012 · 21 filings
RAUM
$5.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$23.4M gross assets
History
21 filings and snapshots on the tape
RAUM$5.1B as of Mar 25, 2015
Mar 15, 2012$4.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2015
Mar 15, 20130 then
Employees (5.A)22 as of Mar 25, 2015
Mar 15, 201320 then
Private funds1 as of Mar 25, 2015
Mar 15, 20132 then
RAUM +26% over the last fiscal year+5.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2015; 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
- $38.4MderivedRAUM 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
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $23.4M, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 134reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.4M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- 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••• F•••••• M••••• to S••• A••••••• S••••••• L•• C•Jun 2, 2015 · Other
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••• L••• T••• P••••••• L•no longer reported | Other Private Fund | $92,905 | 2 | Mar 15, 2013 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• F••••••••• H••••• · Director/Shareholdercontrolsince 02/1988 · owns 25% to 50%
- K••••• T•••••• E••••• · Director And Shareholdercontrolsince 09/1988 · owns 5% to 10%
- M•••••• S•••• F•••••• · President, Cco, Chief Executive Officercontrolsince 07/2004 · owns less than 5%
- A•••••••• K••••••• C•••••• · Shareholdersince 09/1988 · owns less than 5%
- A••••••••• R•••••••• T•••• L••• P•••• · Shareholdersince 09/1988 · owns 5% to 10%
- A•••••• D••••• R•••••• · Research Strategistsince 11/2009 · owns less than 5%
- C••••• C••••••• S••••••• · Shareholdersince 09/1998 · owns less than 5%
- D••••••• M••••••• P•••••• · Director Asset Managementsince 09/2003 · owns less than 5%
- F••••••••• R••••••• S•••• · Portfolio Managersince 06/2009 · owns less than 5%
- G••••••• M••••• J••••• · Shareholdersince 09/1988 · owns 5% to 10%
- H••••••• J•••• · Shareholdersince 09/1988 · owns less than 5%
- I•••••• J••••••••• H••• · Shareholdersince 09/1988 · owns less than 5%
- J••••• B••••••• D•••• · V. P. M•••Eting & Client Servicessince 07/2008 · owns less than 5%
- K••••••• J•••• L••• · Shareholdersince 09/1988 · owns less than 5%
- L•••••• G•••••• J• · Executive Vice Presidentsince 08/2012 · owns less than 5%
- L••••• D•••••• J••••• · Portfolio Managersince 04/2009 · owns less than 5%
- M••••••• R•••••• A••• · Shareholdersince 09/1988 · owns less than 5%
- M•••••••• P•••••• N••••••• · Senior Portfolio Managersince 12/2003 · owns less than 5%
- M•••••••• G••••••••• A•••• V••••••• · Shareholdersince 04/2006 · owns less than 5%
- M•••••• L••••• M••• · Senior Vice President - M•••Etingsince 09/2012 · owns less than 5%
- S•••••••• M••• · Portfolio Managersince 07/2004 · owns less than 5%
- S•••••• A•••••• · M•••Eting Analystsince 07/2010 · owns less than 5%
- S••••• B••••• · Shareholdersince 09/1998 · owns less than 5%
- T•••••••• R••••••• P••• · Shareholdersince 09/1988 · owns less than 5%
- V•••••• R•••••• · Associate Portfolio Managersince 02/2008 · owns less than 5%
- W•••••• E•••••• P••• · Shareholdersince 09/1988 · owns less than 5%
- Z•••• Q•••• Q• · Ldi Analystsince 08/2007 · owns less than 5%
Related persons
Schedule D 7.A
- R••• L••• F••• M••••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 132 to 134Nov 17, 2014 to Mar 25, 2015
- Assets in custody · $25.2M to $23.4MNov 17, 2014 to Mar 25, 2015
- Employees · 20 to 22Nov 17, 2014 to Mar 25, 2015
- Discretionary RAUM · $4.8B to $5.1BNov 17, 2014 to Mar 25, 2015
- RAUM · $4.8B to $5.1BNov 17, 2014 to Mar 25, 2015
- Advisory activities · 2 to 3Oct 1, 2014 to Oct 9, 2014
- Discretionary RAUM · $4.1B to $4.8BOct 1, 2014 to Oct 9, 2014
- RAUM · $4.1B to $4.8BOct 1, 2014 to Oct 9, 2014
- Private funds · 2 to 1Apr 25, 2013 to Mar 20, 2014
- Discretionary RAUM · $4.5B to $4.1BMar 20, 2014 to Mar 20, 2014
- RAUM · $4.5B to $4.1BMar 20, 2014 to Mar 20, 2014
- Accounts · 125 to 132Aug 16, 2012 to Mar 15, 2013
- Advisory employees · unset to 6.0Aug 16, 2012 to Mar 15, 2013
- BD registered reps · unset to 0.0Aug 16, 2012 to Mar 15, 2013
- Assets in custody · $25.7M to $25.2MAug 16, 2012 to Mar 15, 2013
- Employees · unset to 20.0Aug 16, 2012 to Mar 15, 2013
- State-registered IARs · unset to 0.0Aug 16, 2012 to Mar 15, 2013
- Private funds · 1 to 2Aug 16, 2012 to Mar 15, 2013
- Discretionary RAUM · $4.3B to $4.5BAug 16, 2012 to Mar 15, 2013
- RAUM · $4.3B to $4.5BAug 16, 2012 to Mar 15, 2013
- Private funds · unset to 1Apr 17, 2012 to Aug 16, 2012
- Assets in custody · unset to 25683583.0Aug 16, 2012 to Aug 16, 2012
- Custody of client assets · false to trueAug 16, 2012 to Aug 16, 2012
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