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
S•••• C•••••• I••
Latest filing Mar 19, 2024
First filing on the tape Nov 22, 2011 · 20 filings
SEC status approved since Dec 13, 1985
RAUM
$911M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
13%
$120M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$911M as of Mar 19, 2024
Mar 6, 2012$5.0B then
HNW client RAUM$120M as of Mar 19, 2024
Mar 20, 2018$127M then
State-registered IARs (5.B.3)3 as of Mar 19, 2024
Mar 6, 20120 then
Employees (5.A)8 as of Mar 19, 2024
Mar 8, 20138 then
Private funds: no history
RAUM +5.2% over the last fiscal year+6.1% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 19, 2024; every figure names its basis
- RAUM per advisor
- $304MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $59.9MderivedHNW RAUM over HNW clients
- Average account
- $152MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 82%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.2%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- 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
- State and municipal entities$638M70%
- High-net-worth individuals$120M13%
- Charitable organizations$113M12%
- Pooled investment vehicles$39.8M4.4%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• H•••• N•• · President & Managing Director & Chief Compliance Officercontrolsince 01/1993 · owns 10% to 25%
- B••••••••• B••••• D••• · Managing Directorcontrolsince 10/1985 · owns 25% to 50%
- L••••• D•••••• L••••••• · Secretary & Managing Directorcontrolsince 10/1985 · owns 25% to 50%
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
- Discretionary RAUM · $866M to $911MMar 9, 2023 to Mar 19, 2024
- HNW RAUM · $113M to $120MMar 9, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $37.3M to $39.8MMar 9, 2023 to Mar 19, 2024
- RAUM · $866M to $911MMar 9, 2023 to Mar 19, 2024
- Pension plan clients · 1.0 to unsetMar 17, 2022 to Mar 9, 2023
- Discretionary RAUM · $929M to $866MMar 17, 2022 to Mar 9, 2023
- HNW RAUM · $113M to $113MMar 17, 2022 to Mar 9, 2023
- Pooled vehicle RAUM · $45.2M to $37.3MMar 17, 2022 to Mar 9, 2023
- RAUM · $929M to $866MMar 17, 2022 to Mar 9, 2023
- Accounts · 7 to 6Mar 8, 2021 to Mar 17, 2022
- Discretionary RAUM · $764M to $929MMar 8, 2021 to Mar 17, 2022
- HNW RAUM · $89.1M to $113MMar 8, 2021 to Mar 17, 2022
- Pension RAUM · 21100000.0 to unsetMar 8, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $35.1M to $45.2MMar 8, 2021 to Mar 17, 2022
- RAUM · $764M to $929MMar 8, 2021 to Mar 17, 2022
- Accounts · 6 to 7Nov 4, 2020 to Mar 8, 2021
- Discretionary RAUM · $797M to $764MNov 4, 2020 to Mar 8, 2021
- HNW RAUM · $81.8M to $89.1MNov 4, 2020 to Mar 8, 2021
- Pension RAUM · $19.6M to $21.1MNov 4, 2020 to Mar 8, 2021
- Pooled vehicle RAUM · $25.1M to $35.1MNov 4, 2020 to Mar 8, 2021
- RAUM · $797M to $764MNov 4, 2020 to Mar 8, 2021
- Accounts · 11 to 6Mar 18, 2019 to Mar 16, 2020
- Charity clients · 2 to 1Mar 18, 2019 to Mar 16, 2020
- HNW clients · 1 to 2Mar 18, 2019 to Mar 16, 2020
- Pension plan clients · 4 to 1Mar 18, 2019 to Mar 16, 2020
- Discretionary RAUM · $1.3B to $797MMar 18, 2019 to Mar 16, 2020
- HNW RAUM · $94.9M to $81.8MMar 18, 2019 to Mar 16, 2020
- Pension RAUM · $322M to $19.6MMar 18, 2019 to Mar 16, 2020
- Pooled vehicle RAUM · $17.7M to $25.1MMar 18, 2019 to Mar 16, 2020
- RAUM · $1.3B to $797MMar 18, 2019 to Mar 16, 2020
- Accounts · 20 to 11Mar 20, 2018 to Mar 18, 2019
- Advisory employees · 9 to 8Mar 20, 2018 to Mar 18, 2019
- Charity clients · 3 to 2Mar 20, 2018 to Mar 18, 2019
- HNW clients · 2 to 1Mar 20, 2018 to Mar 18, 2019
- Pension plan clients · 9 to 4Mar 20, 2018 to Mar 18, 2019
- Employees · 9 to 8Mar 20, 2018 to Mar 18, 2019
- State-registered IARs · 4 to 3Mar 20, 2018 to Mar 18, 2019
- Discretionary RAUM · $2.7B to $1.3BMar 20, 2018 to Mar 18, 2019
- HNW RAUM · $127M to $94.9MMar 20, 2018 to Mar 18, 2019
- Pension RAUM · $676M to $322MMar 20, 2018 to Mar 18, 2019
Signals
4 dated events
- S•••• C•••••• I•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $911.1M)Feb 3, 2025 · Left the SEC roster · derived
- S•••• C•••••• I•• reported RAUM $796.9M, down 39% from $1.3B (2019-03-18 to 2020-03-16)Mar 16, 2020 · RAUM change · derived
- S•••• C•••••• I•• reported RAUM $1.3B, down 52% from $2.7B (2018-03-20 to 2019-03-18)Mar 18, 2019 · RAUM change · derived
- S•••• C•••••• I•• reported RAUM $2.7B, down 35% from $4.2B (2017-03-13 to 2018-03-20)Mar 20, 2018 · 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