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

P•• C•••••• M••••••••• I••

Former SEC-registered adviserCRD 105535SEC 801-16104IAPD
Latest filing Feb 10, 2015
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$289M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$289M as of Feb 10, 2015
Mar 29, 2012$225M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 10, 2015
Mar 28, 20133 then
Employees (5.A)5 as of Feb 10, 2015
Mar 28, 20137 then
Private funds: no history
RAUM -1.3% over the last fiscal year+8.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 10, 2015; every figure names its basis
RAUM per advisor
$96.4MderivedRAUM 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
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.3%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
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
160reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    • R••••••••• L••••• · Chairman, Ccocontrol
      since 12/2014 · owns 75% or more
    • W•••• D••••• F••••••• · Vice President
      since 09/1992 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 166 to 160
      Jul 18, 2014 to Feb 10, 2015
    • Advisory employees · 5 to 4
      Jul 18, 2014 to Feb 10, 2015
    • Employees · 6 to 5
      Jul 18, 2014 to Feb 10, 2015
    • State-registered IARs · 4 to 3
      Jul 18, 2014 to Feb 10, 2015
    • Discretionary RAUM · $299M to $289M
      Jul 18, 2014 to Feb 10, 2015
    • RAUM · $299M to $289M
      Jul 18, 2014 to Feb 10, 2015
    • Related insurance company · true to false
      Jul 18, 2014 to Feb 10, 2015
    • Accounts · 167 to 166
      Mar 26, 2014 to Jul 18, 2014
    • State-registered IARs · 3 to 4
      Mar 26, 2014 to Jul 18, 2014
    • Discretionary RAUM · $293M to $299M
      Mar 26, 2014 to Jul 18, 2014
    • RAUM · $293M to $299M
      Mar 26, 2014 to Jul 18, 2014
    • Employees · 7 to 6
      Mar 28, 2013 to Mar 26, 2014
    • Discretionary RAUM · $257M to $293M
      Mar 28, 2013 to Mar 26, 2014
    • RAUM · $257M to $293M
      Mar 28, 2013 to Mar 26, 2014
    • Accounts · 153 to 167
      Mar 29, 2012 to Mar 28, 2013
    • Advisory employees · unset to 5.0
      Mar 29, 2012 to Mar 28, 2013
    • Employees · unset to 7.0
      Mar 29, 2012 to Mar 28, 2013
    • Insurance-licensed employees · 1 to 2
      Mar 29, 2012 to Mar 28, 2013
    • State-registered IARs · unset to 3.0
      Mar 29, 2012 to Mar 28, 2013
    • Discretionary RAUM · $225M to $257M
      Mar 29, 2012 to Mar 28, 2013
    • RAUM · $225M to $257M
      Mar 29, 2012 to Mar 28, 2013
    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