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

C•••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserBethesda, MarylandCRD 105512SEC 801-17044IAPD
Latest filing May 4, 2017
First filing on the tape Mar 29, 2012 · 23 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$0 as of Mar 29, 2017
Mar 29, 2012$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 29, 20120 then
Employees (5.A)10 as of Mar 29, 2017
Mar 26, 201366 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of May 4, 2017; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-100%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••••• V••••• S•••••••• · Director, Chief Financial Officercontrol
      since 12/2016 · owns less than 5%
    • E•••••••• R•••••• J•••• A•••• · Director, Treasure And Senior Vice Presidentcontrol
      since 12/2016 · owns less than 5%
    • L•••••• W••••••• W•••••• · Director And Chairmancontrol
      since 12/2016 · owns less than 5%
    • K••••••• T•••••• G••••• · Chief Compliance Officer
      since 12/2016 · owns less than 5%
    • N••••••• A•••••• K••• · General Counsel And Senior Vice President
      since 12/2016 · owns less than 5%
    Entity owners
    • C•••••• I••••••••• I••• · Shareholder
      direct · owns 75% or more
    • A••••••• H•••••• C•••••• · Shareholder
      indirect · owns 75% or more of Ameritas Life Insurance Corporation
    • A••••••• L••• I•••••••• C••••••••• · Shareholder
      indirect · owns 75% or more of Calvert Investments, Inc.
    • A••••••• M••••• H•••••• C•••••• · Shareholder
      indirect · owns 75% or more of Ameritas Holding Company
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • BD registered reps · 6 to 3
      Mar 29, 2017 to May 4, 2017
    • Employees · 10 to 8
      Mar 29, 2017 to May 4, 2017
    • Accounts · 1 to 0
      Jan 17, 2017 to Mar 29, 2017
    • BD registered reps · 16 to 6
      Jan 17, 2017 to Mar 29, 2017
    • Custody of client assets · true to false
      Jan 17, 2017 to Mar 29, 2017
    • Employees · 57 to 10
      Jan 17, 2017 to Mar 29, 2017
    • Non-discretionary RAUM · $481M to $0
      Jan 17, 2017 to Mar 29, 2017
    • RAUM · $481M to $0
      Jan 17, 2017 to Mar 29, 2017
    • Accounts · 50 to 1
      Nov 9, 2016 to Jan 17, 2017
    • Advisory employees · 33 to 0
      Nov 9, 2016 to Jan 17, 2017
    • Advisory activities · 4 to 1
      Nov 9, 2016 to Jan 17, 2017
    • BD registered reps · 49 to 16
      Nov 9, 2016 to Jan 17, 2017
    • Assets in custody · $411M to $481M
      Nov 9, 2016 to Jan 17, 2017
    • Employees · 74 to 57
      Nov 9, 2016 to Jan 17, 2017
    • State-registered IARs · 1 to 0
      Nov 9, 2016 to Jan 17, 2017
    • Discretionary RAUM · $12B to $0
      Nov 9, 2016 to Jan 17, 2017
    • Non-discretionary RAUM · $0 to $481M
      Nov 9, 2016 to Jan 17, 2017
    • RAUM · $12B to $481M
      Nov 9, 2016 to Jan 17, 2017
    • Accounts · 54 to 50
      Dec 1, 2015 to Mar 30, 2016
    • Advisory employees · 42 to 33
      Dec 1, 2015 to Mar 30, 2016
    • Advisory activities · 3 to 4
      Dec 1, 2015 to Mar 30, 2016
    • BD registered reps · 8 to 49
      Dec 1, 2015 to Mar 30, 2016
    • Assets in custody · unset to 411409714.0
      Dec 1, 2015 to Mar 30, 2016
    • Custody of client assets · false to true
      Dec 1, 2015 to Mar 30, 2016
    • Employees · 42 to 74
      Dec 1, 2015 to Mar 30, 2016
    • State-registered IARs · 0 to 1
      Dec 1, 2015 to Mar 30, 2016
    • Discretionary RAUM · $13B to $12B
      Dec 1, 2015 to Mar 30, 2016
    • RAUM · $13B to $12B
      Dec 1, 2015 to Mar 30, 2016
    • Advisory employees · 56 to 42
      Sep 11, 2015 to Dec 1, 2015
    • BD registered reps · 5 to 8
      Sep 11, 2015 to Dec 1, 2015
    • Employees · 56 to 42
      Sep 11, 2015 to Dec 1, 2015
    • Accounts · 57 to 54
      Jan 7, 2015 to Mar 31, 2015
    • Discretionary RAUM · $13B to $13B
      Jan 7, 2015 to Mar 31, 2015
    • RAUM · $13B to $13B
      Jan 7, 2015 to Mar 31, 2015
    • Accounts · 61 to 57
      Nov 8, 2013 to Mar 21, 2014
    • Advisory employees · 66 to 56
      Nov 8, 2013 to Mar 21, 2014
    • BD registered reps · 11 to 5
      Nov 8, 2013 to Mar 21, 2014
    • Employees · 66 to 56
      Nov 8, 2013 to Mar 21, 2014
    • Discretionary RAUM · $12B to $13B
      Nov 8, 2013 to Mar 21, 2014
    • RAUM · $12B to $13B
      Nov 8, 2013 to Mar 21, 2014
    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