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••••••••• I••••••••• M••••••••• I••

Former SEC-registered adviserColumbus, OhioCRD 105709SEC 801-80002IAPD
Latest filing Jun 25, 2014
First filing on the tape Apr 4, 2012 · 5 filings
RAUM
$120M
reported, Item 5.F
Discretionary
0.0%
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
6
3 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$55.9M as of Apr 3, 2013
Apr 4, 2012$49.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Apr 3, 2013
Apr 4, 20120 then
Employees (5.A): 6
Private funds: no history
RAUM +142% over the last fiscal yearIARs 0 to 3
Practice profile
derived from the filing of Jun 25, 2014; every figure names its basis
RAUM per advisor
$40.0MderivedRAUM 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
$533,333derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
pension consulting, otherreportedItem 5.G
Custody
$48.4M, 239 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 custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
225reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$48.4M for 239 clientsreported
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
Left, latest
none on the tape
    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
      • O••••••• M••••••• P• · Ccocontrol
        since 05/2014 · owns 75% or more
      • C••••••• D••••••• E••••• · President
        since 07/2013 · owns 75% or more
      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
      • Accounts · 170 to 225
        Aug 1, 2013 to Jun 24, 2014
      • Non-discretionary RAUM · $55.9M to $120M
        Aug 1, 2013 to Jun 24, 2014
      • RAUM · $55.9M to $120M
        Aug 1, 2013 to Jun 24, 2014
      • Accounts · 225 to 170
        Apr 4, 2012 to Apr 3, 2013
      • Advisory employees · unset to 3.0
        Apr 4, 2012 to Apr 3, 2013
      • Employees · unset to 6.0
        Apr 4, 2012 to Apr 3, 2013
      • State-registered IARs · 0 to 3
        Apr 4, 2012 to Apr 3, 2013
      • Non-discretionary RAUM · $49.6M to $55.9M
        Apr 4, 2012 to Apr 3, 2013
      • RAUM · $49.6M to $55.9M
        Apr 4, 2012 to Apr 3, 2013
      Signals
      1 dated events
      • P••••••••• I••••••••• M••••••••• I•• filed its initial SEC registration (Form ADV)
        Jun 24, 2014 · First SEC registration · fact
      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