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
W••••••• R•••••••• M••••••••• I••
Latest filing Mar 30, 2016
First filing on the tape Dec 14, 2011 · 10 filings
RAUM
$578M
reported, Item 5.F
Discretionary
95%
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
19
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$578M as of Mar 30, 2016
Mar 29, 2012$389M then
HNW client RAUM: no history
State-registered IARs (5.B.3)13 as of Mar 30, 2016
Mar 28, 201312 then
Employees (5.A)19 as of Mar 30, 2016
Mar 28, 201319 then
Private funds: no history
RAUM -4.4% over the last fiscal year+9.6% a year over threeIARs 10 to 13
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
- RAUM per advisor
- $44.4MderivedRAUM 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
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +30%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $2,460, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.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
- 331reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2,460 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourly, 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
- S••••• K••• V•• A•••• to C•• C•••••• M••••••••• L••Dec 24, 2016 · Other
- J••••••• R••• H••••••• to U••••• C•••••• F•••••••• A•••••••Dec 24, 2016 · Other
- A•••• E••••• S•••••• to U••••• C•••••• F•••••••• A•••••••Dec 24, 2016 · Other
- J•••••• S•••••• S•••••• to N•••••••• W••••• P••••••• L••Dec 24, 2016 · Other
- C••••••••• J•••• D•••••• to D••••••• S••••••••• L••Dec 24, 2016 · Other
- A•••••••• N• B••••• to U••••• C•••••• F•••••••• A•••••••Dec 24, 2016 · Other
- J••••• A•••••• T•••••• to P•••••• A•••••• G••••• L••Oct 31, 2016 · Other
- M•••• C•••••• to H•••••• J• S••• C•••••• M••••••••• I•••Jan 6, 2016 · Other
- E•••• S•••• B•••••••• to P•••••• A•••••• G••••• L••Dec 9, 2015 · Other
- F•••• M••••• S••••••• to S••••••• C•••••• M••••••••• L••Dec 2, 2015 · Other
- R••••• M••••• H•••••• to A•••••••• I••••••••• M••••••••• L••Aug 24, 2015 · Other
- W•••••• J••••• K•••••• to A•• A•••••••• L••Jun 12, 2015 · Other
- S•••• K• R••• to P••••••••• S••••••••• C•••••••••Jun 11, 2015 · Other
- B•••• A• M•••• to A•••• C•••••• C••••Jun 10, 2014 · Other
- D•••• J••• P••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 10, 2014 · Other
Joined, latest
- J••••••• R••• H••••••• from C•••••••• W••••• M•••••••••Jan 13, 2016 · Other
- D•••• J••• P••••• from C••••••••• F•••••••• N••••••Feb 20, 2014 · Other
- E•••• S•••• B•••••••• from D•••••••• F•••••••• S••••••• I••Dec 14, 2012 · Other
- B•••• A• M•••• from M••••• S••••••Aug 20, 2012 · Other
- M•••• C•••••• from W•••• F•••• A•••••••Aug 20, 2012 · Other
- S•••• K• R••• from N•• A•••••• S•••••••• L••Jun 11, 2012 · Other
- R••••• M••••• H•••••• from W•••• F•••• A•••••••Jan 6, 2012 · Other
- T•••• D••••• S•••••• from W•••• F•••• A•••••••Mar 15, 2011 · Other
- C••••••••• J•••• D•••••• from U•• F•••••••• S••••••• I•••Jan 21, 2011 · Other
- R••••• E••• H•••••• from S•••• T•••• W••••• A•••••••• L••Mar 8, 2010 · Other
- S••••• K••• V•• A•••• from W•••• F•••• A•••••••Feb 22, 2010 · Other
- F•••• R••• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 5, 2009 · Other
- J•••••• S•••••• S•••••• from P•••••••• S••••••••• I•••Jul 30, 2009 · Other
- S••••• O••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Mar 6, 2009 · Other
- D•••• J•••• B••••• from M•• F•••••••• S•••••••• I•••Jan 4, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for U••••• C•••••• F•••••••• A•••••••Dec 24, 2016 · W•••••••, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••• J•••• A•••• · Ceo, Board Of Directorscontrolsince 06/1990 · owns 75% or more
- D••••••• C••••••••• J•••• · Chief Operating Officersince 09/2013 · owns less than 5%
- S••••••• J••••••• S•••••• · Chief Compliance Officersince 08/2009 · owns less than 5%
- S••••••••• A••••• · Controllersince 04/2013 · owns less than 5%
- S••••• J•••••• F•• · Board Of Directorssince 12/2009 · owns less than 5%
- T••••••• J•••••• A•••••• · Chief Investment Officersince 05/2008 · owns less than 5%
- T••••• W•••••• B•••••• · Board Of Directorssince 12/2002 · owns less than 5%
- V••••••• C••••••• C••••• · Board Of Directorssince 03/2003 · owns less than 5%
Related persons
Schedule D 7.A
- W••••••• R•••••••• I••••••••• S•••••••• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 327 to 331Mar 27, 2015 to Mar 30, 2016
- Advisory employees · 14 to 13Mar 27, 2015 to Mar 30, 2016
- BD registered reps · 14 to 13Mar 27, 2015 to Mar 30, 2016
- Assets in custody · $1.3M to $2,460Mar 27, 2015 to Mar 30, 2016
- Employees · 23 to 19Mar 27, 2015 to Mar 30, 2016
- State-registered IARs · 10 to 13Mar 27, 2015 to Mar 30, 2016
- Discretionary RAUM · $578M to $550MMar 27, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $26.0M to $27.7MMar 27, 2015 to Mar 30, 2016
- RAUM · $604M to $578MMar 27, 2015 to Mar 30, 2016
- Accounts · 317 to 327Mar 31, 2014 to Mar 27, 2015
- BD registered reps · 18 to 14Mar 31, 2014 to Mar 27, 2015
- Assets in custody · $1.7M to $1.3MMar 31, 2014 to Mar 27, 2015
- Insurance-licensed employees · 3 to 0Mar 31, 2014 to Mar 27, 2015
- State-registered IARs · 16 to 10Mar 31, 2014 to Mar 27, 2015
- Discretionary RAUM · $530M to $578MMar 31, 2014 to Mar 27, 2015
- Non-discretionary RAUM · $19.4M to $26.0MMar 31, 2014 to Mar 27, 2015
- RAUM · $549M to $604MMar 31, 2014 to Mar 27, 2015
- Accounts · 315 to 317Dec 2, 2013 to Mar 28, 2014
- Advisory employees · 11 to 14Dec 2, 2013 to Mar 28, 2014
- Advisory activities · 6 to 7Dec 2, 2013 to Mar 28, 2014
- BD registered reps · 16 to 18Dec 2, 2013 to Mar 28, 2014
- Assets in custody · $1.6M to $1.7MDec 2, 2013 to Mar 28, 2014
- Employees · 19 to 23Dec 2, 2013 to Mar 28, 2014
- State-registered IARs · 12 to 16Dec 2, 2013 to Mar 28, 2014
- Discretionary RAUM · $439M to $530MDec 2, 2013 to Mar 28, 2014
- Non-discretionary RAUM · $0 to $19.4MDec 2, 2013 to Mar 28, 2014
- RAUM · $439M to $549MDec 2, 2013 to Mar 28, 2014
- Accounts · 311 to 315Sep 21, 2012 to Mar 28, 2013
- Advisory employees · unset to 11.0Sep 21, 2012 to Mar 28, 2013
- BD registered reps · unset to 16.0Sep 21, 2012 to Mar 28, 2013
- Commission compensation · true to falseSep 21, 2012 to Mar 28, 2013
- Assets in custody · $1.4M to $1.6MSep 21, 2012 to Mar 28, 2013
- Employees · unset to 19.0Sep 21, 2012 to Mar 28, 2013
- State-registered IARs · unset to 12.0Sep 21, 2012 to Mar 28, 2013
- Discretionary RAUM · $370M to $439MSep 21, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $19.3M to $0Sep 21, 2012 to Mar 28, 2013
- RAUM · $389M to $439MSep 21, 2012 to Mar 28, 2013
- Accounts · 313 to 311Dec 14, 2011 to Mar 29, 2012
- Insurance-licensed employees · unset to 3.0Dec 14, 2011 to Mar 29, 2012
- Discretionary RAUM · $369M to $370MDec 14, 2011 to Mar 29, 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