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.
SEC-registered adviser
Flaherty & Crumrine Incorporated
Latest filing Mar 25, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Jul 21, 1983
RAUM
$4.1B
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
14
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$4.1B as of Mar 25, 2026
Mar 30, 2012$4.4B then
HNW client RAUM$43.2M as of Mar 31, 2021
Mar 23, 2018$42.6M then
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 30, 20120 then
Employees (5.A)14 as of Mar 25, 2026
Mar 27, 201316 then
Private funds: no history
RAUM +2.1% over the last fiscal year+1.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; 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
- $259MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%derivedpensions, 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
- +2.1%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
- Investment companies$3.1B76%
- Insurance companies$841M21%
- Pooled investment vehicles$131M3.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.78 institutional_share=0.2 related_bd=false related_bank=false bd_reps=0.0derived
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
- Eric Robert Chadwick · President & Director And Shareholdercontrolsince 09/2014 · owns 10% to 25%
- Christopher Chad Conwell · Executive Vice President, Chief Legal Officer, Chief Compliance Officer & Director And Shareholdercontrolsince 09/2014 · owns 10% to 25%
- Sydenham Bradford Stone · Executive Vice President, Chief Financial Officer & Director And Shareholdercontrolsince 09/2014 · owns 10% to 25%
- Frasier Donald Crumrine · Shareholdersince 03/1997 · owns 10% to 25%
- Michael Robert Ettinger · Shareholdersince 04/1997 · owns 10% to 25%
- Thomas Robert Flaherty · Shareholdersince 01/1997 · owns 10% to 25%
Related persons
Schedule D 7.A
- Dfc Preferred Advisors LLCinvestment adviseryRAUM $229M
Offices
Schedule D 1.F, the 25 largest
- Summit, NJ4 employees
What changed
consecutive filings, newest first
- Accounts · 17 to 16Jul 11, 2025 to Mar 25, 2026
- Employees · 13 to 14Jul 11, 2025 to Mar 25, 2026
- Discretionary RAUM · $4.1B to $4.1BJul 11, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $132M to $131MJul 11, 2025 to Mar 25, 2026
- RAUM · $4.1B to $4.1BJul 11, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 25, 2025 to Jul 11, 2025
- Discretionary RAUM · $3.9B to $4.1BMar 29, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $113M to $132MMar 29, 2024 to Mar 25, 2025
- RAUM · $3.9B to $4.1BMar 29, 2024 to Mar 25, 2025
- Accounts · 18 to 17Mar 30, 2023 to Mar 29, 2024
- Employees · 15 to 13Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $3.9B to $3.9BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $119M to $113MMar 30, 2023 to Mar 29, 2024
- RAUM · $3.9B to $3.9BMar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.9B to $3.9BMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $1.1M to $0Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $151M to $119MMar 31, 2022 to Mar 30, 2023
- RAUM · $4.9B to $3.9BMar 31, 2022 to Mar 30, 2023
- Accounts · 20 to 18Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 9 to 8Mar 31, 2021 to Mar 31, 2022
- Advisory activities · 4 to 3Mar 31, 2021 to Mar 31, 2022
- Employees · 17 to 15Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $4.6B to $4.9BMar 31, 2021 to Mar 31, 2022
- HNW RAUM · 43167257.0 to unsetMar 31, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $1.1MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $126M to $151MMar 31, 2021 to Mar 31, 2022
- RAUM · $4.6B to $4.9BMar 31, 2021 to Mar 31, 2022
- Related adviser · false to trueMar 31, 2021 to Mar 31, 2022
- Employees · 16 to 17Nov 18, 2020 to Mar 31, 2021
- Discretionary RAUM · $4.6B to $4.6BNov 18, 2020 to Mar 31, 2021
- HNW RAUM · $46.9M to $43.2MNov 18, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $128M to $126MNov 18, 2020 to Mar 31, 2021
- RAUM · $4.6B to $4.6BNov 18, 2020 to Mar 31, 2021
- Advisory employees · 8 to 9Mar 26, 2019 to Mar 30, 2020
- Employees · 15 to 16Mar 26, 2019 to Mar 30, 2020
- Discretionary RAUM · $4.0B to $4.6BMar 26, 2019 to Mar 30, 2020
- HNW RAUM · $43.6M to $46.9MMar 26, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $96.8M to $128MMar 26, 2019 to Mar 30, 2020
- RAUM · $4.0B to $4.6BMar 26, 2019 to Mar 30, 2020
- Accounts · 19 to 20Mar 23, 2018 to Mar 26, 2019
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.
How to reach
public business contact points only, each with its source
- Website
- FLAHERTYCRUMRINE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 626-795-7300reportedpublic record, Form ADV, Mar 25, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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