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•••••• D• H•••• • C••••••
Latest filing Mar 8, 2024
First filing on the tape Mar 2, 2012 · 18 filings
RAUM
$2.2B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
87%
$1.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$2.2B as of Mar 8, 2024
Mar 2, 2012$644M then
HNW client RAUM$1.8B as of Mar 8, 2024
Mar 22, 2018$990M then
State-registered IARs (5.B.3)2 as of Mar 8, 2024
Mar 2, 20120 then
Employees (5.A)5 as of Mar 8, 2024
Mar 8, 20135 then
Private funds: no history
RAUM +12% over the last fiscal year+7.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 8, 2024; every figure names its basis
- RAUM per advisor
- $1.1BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 509derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Custody
- $1.3B, 458 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B81%
- Corporations and businesses$283M13%
- Individuals$120M5.5%
- Charitable organizations$3.6M0.2%
- Pension and profit-sharing plans$3.2M0.1%
- Individual clients
- 620reported
- HNW clients
- 397reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 1,054reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 458 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- C•••••• D•••• H•••• to H•••••••• A•••••••• L••Nov 25, 2024 · RIA to affiliated broker-dealer or bank
- C•••••• R• B•••• to H•••••••• A•••••••• L••Nov 25, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for H•••••••• A•••••••• L••Nov 25, 2024 · Ponte Vedra Beach, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• C••••••• D•••• · Chief Executive Officercontrolsince 04/1994 · owns 75% or more
- B••••• C••••••• R••••••• · Chief Compliance Officersince 10/2004 · owns less than 5%
- H••••••••• J•••• M••••• · Shareholdersince 05/2023 · owns less than 5%
- S•••••• J••• T••••• · Shareholdersince 05/2023 · owns less than 5%
- S•••••• H•••••• C•••••• · Trustee Of T•• H•••• C••••••••• I••••••••• T••••since 12/2020 · owns less than 5%
Entity owners
- T•• H•••• C••••••••• I••••••••• T•••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ponte Vedra Beach, Fl · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 997 to 1,054Mar 2, 2023 to Mar 8, 2024
- Corporate clients · 31 to 30Mar 2, 2023 to Mar 8, 2024
- HNW clients · 368 to 397Mar 2, 2023 to Mar 8, 2024
- Individual clients · 591 to 620Mar 2, 2023 to Mar 8, 2024
- Assets in custody · $1.2B to $1.3BMar 2, 2023 to Mar 8, 2024
- Discretionary RAUM · $1.9B to $2.2BMar 2, 2023 to Mar 8, 2024
- HNW RAUM · $1.8B to $1.8BMar 2, 2023 to Mar 8, 2024
- Individual RAUM · $111M to $120MMar 2, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $26.1M to $22.3MMar 2, 2023 to Mar 8, 2024
- Pension RAUM · $2.8M to $3.2MMar 2, 2023 to Mar 8, 2024
- RAUM · $2.0B to $2.2BMar 2, 2023 to Mar 8, 2024
- Accounts · 956 to 997Mar 9, 2022 to Mar 2, 2023
- Charity clients · unset to 6.0Mar 9, 2022 to Mar 2, 2023
- Corporate clients · 30 to 31Mar 9, 2022 to Mar 2, 2023
- HNW clients · 361 to 368Mar 9, 2022 to Mar 2, 2023
- Individual clients · 559 to 591Mar 9, 2022 to Mar 2, 2023
- Assets in custody · $1.2B to $1.2BMar 9, 2022 to Mar 2, 2023
- State-registered IARs · 1 to 2Mar 9, 2022 to Mar 2, 2023
- Discretionary RAUM · $2.1B to $1.9BMar 9, 2022 to Mar 2, 2023
- HNW RAUM · $1.9B to $1.8BMar 9, 2022 to Mar 2, 2023
- Individual RAUM · $106M to $111MMar 9, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $24.5M to $26.1MMar 9, 2022 to Mar 2, 2023
- Pension RAUM · $3.0M to $2.8MMar 9, 2022 to Mar 2, 2023
- RAUM · $2.1B to $2.0BMar 9, 2022 to Mar 2, 2023
- Accounts · 931 to 956Mar 5, 2021 to Mar 9, 2022
- Corporate clients · 23 to 30Mar 5, 2021 to Mar 9, 2022
- HNW clients · 341 to 361Mar 5, 2021 to Mar 9, 2022
- Individual clients · 563 to 559Mar 5, 2021 to Mar 9, 2022
- Assets in custody · $1.0B to $1.2BMar 5, 2021 to Mar 9, 2022
- State-registered IARs · 2 to 1Mar 5, 2021 to Mar 9, 2022
- Discretionary RAUM · $1.7B to $2.1BMar 5, 2021 to Mar 9, 2022
- HNW RAUM · $1.6B to $1.9BMar 5, 2021 to Mar 9, 2022
- Individual RAUM · $110M to $106MMar 5, 2021 to Mar 9, 2022
- Non-discretionary RAUM · $10.8M to $24.5MMar 5, 2021 to Mar 9, 2022
- Pension RAUM · $2.5M to $3.0MMar 5, 2021 to Mar 9, 2022
- RAUM · $1.8B to $2.1BMar 5, 2021 to Mar 9, 2022
- Accounts · 903 to 931Jun 15, 2020 to Mar 5, 2021
- Charity clients · 6.0 to unsetJun 15, 2020 to Mar 5, 2021
- Corporate clients · 0 to 23Jun 15, 2020 to Mar 5, 2021
- HNW clients · 268 to 341Jun 15, 2020 to Mar 5, 2021
Signals
6 dated events
- C•••••• D•••• H•••• left C•••••• D• H•••• • C•••••• for H•••••••• A•••••••• L•• (registered 2025-03-12)Nov 25, 2024 · Advisor changed firm · fact
- C•••••• R• B•••• left C•••••• D• H•••• • C•••••• for H•••••••• A•••••••• L•• (registered 2025-03-24)Nov 25, 2024 · Advisor changed firm · fact
- 2 advisors left C•••••• D• H•••• • C•••••• (Ponte Vedra Beach, FL) for H•••••••• A•••••••• L•• on the same dayNov 25, 2024 · Team lift-out · derived
- C•••••• Howard Serkin (Trustee) appeared on Schedule A of C•••••• D• H•••• • C••••••Mar 2, 2023 · Control person joined · fact
- C•••••• D• H•••• • C•••••• reported RAUM $1.8B, up 28% from $1.4B (2020-06-15 to 2021-03-05)Mar 5, 2021 · RAUM change · derived
- C•••••• D• H•••• • C•••••• reported RAUM $1.4B, up 26% from $1.1B (2019-08-08 to 2020-03-13)Mar 13, 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