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
A•••• M••••••••• A••••••• I••
Latest filing Apr 15, 2021
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$448M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
99%
$446M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$448M as of Mar 31, 2021
Mar 30, 2012$170M then
HNW client RAUM$436M as of Mar 31, 2021
Mar 30, 2018$320M then
State-registered IARs (5.B.3)3 as of Mar 31, 2021
Mar 30, 20120 then
Employees (5.A)11 as of Mar 31, 2021
Apr 2, 20136 then
Private funds: no history
RAUM +3.8% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 15, 2021; every figure names its basis
- RAUM per advisor
- $149MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $274,764derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $86.5M, 72 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 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)
- 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
- High-net-worth individuals$436M97%
- Individuals$9.8M2.2%
- Charitable organizations$2.9M0.6%
- Individual clients
- 18reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,632reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $86.5M for 72 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
Left, latest
- K•••• S•••••••• to O•• H•••••• I••••••••• S•••••••Aug 25, 2021 · RIA to RIA
- D•••• J••• M•••••• to G•••••• H••••• A•••••••• I•••Jul 10, 2018 · RIA to RIA
- J••••••• R••• S•••••• to I••••••• W••••• S•••••••••Feb 26, 2018 · Other
- S•••••• J•• P••• to T••••••••• L••••• A•••••••• L••Jan 8, 2016 · Other
- M••••••• P••••• C•••••• to M•••••• H••• A•••••••• L••Dec 13, 2013 · Other
Joined, latest
- K•••• S•••••••• from S•••••••• F••••••••• I•••May 3, 2019 · Affiliated broker-dealer or bank to independent RIA
- D•••• J••• M•••••• from B•• F•••••••• A•••• M••••••••• I•••Mar 12, 2015 · Other
- J••••••• R••• S•••••• from V••••• A•••••••• L••Oct 28, 2014 · Other
- S•••••• J•• P••• from I•••••• W••••• A•••••••• L••Feb 27, 2014 · Other
- M••••••• P••••• C•••••• from U•• F•••••••• S••••••• I•••Nov 4, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• B••••• L••• · President & Chief Compliance Officercontrolsince 07/1986 · 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
- BD registered reps · 4 to 5Jun 29, 2020 to Mar 31, 2021
- Accounts · 1,719 to 1,632Jun 29, 2020 to Mar 31, 2021
- HNW clients · 74 to 73Jun 29, 2020 to Mar 31, 2021
- Individual clients · 17 to 18Jun 29, 2020 to Mar 31, 2021
- Assets in custody · $108M to $86.5MJun 29, 2020 to Mar 31, 2021
- Employees · 10 to 11Jun 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $281M to $286MJun 29, 2020 to Mar 31, 2021
- HNW RAUM · $420M to $436MJun 29, 2020 to Mar 31, 2021
- Individual RAUM · $9.2M to $9.8MJun 29, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $151M to $162MJun 29, 2020 to Mar 31, 2021
- RAUM · $432M to $448MJun 29, 2020 to Mar 31, 2021
- Accounts · 1,527 to 1,719Jul 18, 2019 to Mar 25, 2020
- Advisory employees · 6 to 5Jul 18, 2019 to Mar 25, 2020
- HNW clients · 75 to 74Jul 18, 2019 to Mar 25, 2020
- Individual clients · 10 to 17Jul 18, 2019 to Mar 25, 2020
- Assets in custody · $74.2M to $108MJul 18, 2019 to Mar 25, 2020
- Employees · 9 to 10Jul 18, 2019 to Mar 25, 2020
- State-registered IARs · 1 to 3Jul 18, 2019 to Mar 25, 2020
- Discretionary RAUM · $214M to $281MJul 18, 2019 to Mar 25, 2020
- HNW RAUM · $320M to $420MJul 18, 2019 to Mar 25, 2020
- Individual RAUM · $4.0M to $9.2MJul 18, 2019 to Mar 25, 2020
- Non-discretionary RAUM · $112M to $151MJul 18, 2019 to Mar 25, 2020
- RAUM · $326M to $432MJul 18, 2019 to Mar 25, 2020
- Accounts · 1,380 to 1,527Mar 30, 2018 to Mar 27, 2019
- BD registered reps · 3 to 4Mar 30, 2018 to Mar 27, 2019
- Charity clients · 1.0 to unsetMar 30, 2018 to Mar 27, 2019
- HNW clients · 58 to 75Mar 30, 2018 to Mar 27, 2019
- Individual clients · 15 to 10Mar 30, 2018 to Mar 27, 2019
- Assets in custody · $5.4M to $74.2MMar 30, 2018 to Mar 27, 2019
- Employees · 8 to 9Mar 30, 2018 to Mar 27, 2019
- State-registered IARs · 0 to 1Mar 30, 2018 to Mar 27, 2019
- Discretionary RAUM · $221M to $214MMar 30, 2018 to Mar 27, 2019
- HNW RAUM · $320M to $320MMar 30, 2018 to Mar 27, 2019
- Individual RAUM · $12.9M to $4.0MMar 30, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $114M to $112MMar 30, 2018 to Mar 27, 2019
- RAUM · $335M to $326MMar 30, 2018 to Mar 27, 2019
- Accounts · 1,478 to 1,380Jul 7, 2017 to Mar 30, 2018
- Charity clients · unset to 1.0Jul 7, 2017 to Mar 30, 2018
- HNW clients · unset to 58.0Jul 7, 2017 to Mar 30, 2018
- Individual clients · unset to 15.0Jul 7, 2017 to Mar 30, 2018
Signals
1 dated events
- A•••• M••••••••• A••••••• I•• reported RAUM $431.9M, up 33% from $325.8M (2019-07-18 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
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