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.

Former SEC-registered adviser

The Enrichment Group, Inc.

Former SEC-registered adviserMiami, FloridaCRD 105823SEC 801-34908IAPD
Latest filing Feb 26, 2015
First filing on the tape Feb 9, 2012 · 13 filings
RAUM
$245M
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
7
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$245M as of Feb 26, 2015
Feb 9, 2012$198M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Feb 26, 2015
Feb 9, 20120 then
Employees (5.A)7 as of Feb 26, 2015
Mar 15, 20137 then
Private funds: no history
RAUM +3.8% over the last fiscal year+7.3% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Feb 26, 2015; every figure names its basis
RAUM per advisor
$35.0MderivedRAUM 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
$891,399derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.8%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$16.3M, 68 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
275reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$16.3M for 68 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Patrick Bryan Day · Chief Operating Officercontrol
      since 12/1992 · owns 25% to 50%
    • Patricia Kathleen Day · Presidentcontrol
      since 01/1987 · owns 50% to 75%
    • Ann Carol Harlow · Chief Compliance Officer
      since 04/2008 · owns less than 5%
    Related persons
    Schedule D 7.A
    • Peter Lowden
      investment advisern
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 271 to 275
      Apr 8, 2014 to Feb 26, 2015
    • Advisory employees · 8 to 7
      Apr 8, 2014 to Feb 26, 2015
    • BD registered reps · 3 to 1
      Apr 8, 2014 to Feb 26, 2015
    • Assets in custody · $17.2M to $16.3M
      Apr 8, 2014 to Feb 26, 2015
    • Employees · 8 to 7
      Apr 8, 2014 to Feb 26, 2015
    • Financial planning clients · 101-250 to 251-500
      Apr 8, 2014 to Feb 26, 2015
    • State-registered IARs · 8 to 7
      Apr 8, 2014 to Feb 26, 2015
    • Discretionary RAUM · $236M to $245M
      Apr 8, 2014 to Feb 26, 2015
    • RAUM · $236M to $245M
      Apr 8, 2014 to Feb 26, 2015
    • Related adviser · false to true
      Feb 17, 2014 to Apr 8, 2014
    • Accounts · 233 to 271
      Jan 9, 2014 to Feb 17, 2014
    • Advisory employees · 7 to 8
      Jan 9, 2014 to Feb 17, 2014
    • Assets in custody · $14.4M to $17.2M
      Jan 9, 2014 to Feb 17, 2014
    • Employees · 7 to 8
      Jan 9, 2014 to Feb 17, 2014
    • State-registered IARs · 7 to 8
      Jan 9, 2014 to Feb 17, 2014
    • Discretionary RAUM · $215M to $236M
      Jan 9, 2014 to Feb 17, 2014
    • RAUM · $215M to $236M
      Jan 9, 2014 to Feb 17, 2014
    • Assets in custody · unset to 14365000.0
      Apr 5, 2013 to May 29, 2013
    • Custody of client assets · false to true
      Apr 5, 2013 to May 29, 2013
    • Legal name · THE ENRICHMENT GROUP to THE ENRICHMENT GROUP, INC.
      Apr 5, 2013 to May 29, 2013
    • Business name · KATHLEEN DAY & ASSOCIATES, INC. to THE ENRICHMENT GROUP, INC.
      Mar 15, 2013 to Apr 5, 2013
    • Accounts · 247 to 233
      Jan 30, 2013 to Mar 15, 2013
    • Legal name · KATHLEEN DAY & ASSOCIATES, INC. to THE ENRICHMENT GROUP
      Jan 30, 2013 to Mar 15, 2013
    • Discretionary RAUM · $198M to $215M
      Jan 30, 2013 to Mar 15, 2013
    • RAUM · $198M to $215M
      Jan 30, 2013 to Mar 15, 2013
    • Advisory employees · unset to 7.0
      Mar 30, 2012 to Jan 30, 2013
    • BD registered reps · unset to 3.0
      Mar 30, 2012 to Jan 30, 2013
    • Employees · unset to 7.0
      Mar 30, 2012 to Jan 30, 2013
    • State-registered IARs · 0 to 7
      Mar 30, 2012 to Jan 30, 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