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
R•••••• A•••••••
Legal name R•••••• I••••••••• A•••••••• L••
Latest filing Aug 23, 2018
First filing on the tape Mar 6, 2012 · 17 filings
RAUM
$955M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
97%
$923M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
19 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$955M as of Mar 24, 2018
Mar 6, 2012$669M then
HNW client RAUM: $734M
State-registered IARs (5.B.3)16 as of Mar 24, 2018
Mar 20, 201318 then
Employees (5.A)23 as of Mar 24, 2018
Mar 20, 201323 then
Private funds: no history
RAUM +18% over the last fiscal year+5.1% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Aug 23, 2018; every figure names its basis
- RAUM per advisor
- $59.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $358,103derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 16.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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 securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$717M75%
- Individuals$206M22%
- Pension and profit-sharing plans$32.5M3.4%
- Individual clients
- 606reported
- HNW clients
- 268reported
- Pension plan clients
- 22reported
- Charitable clients
- n/areported
- Accounts
- 2,668reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- H••••• S• M••••• to C•• F•••••••• S•••••••• L••Jun 1, 2015 · Other
- J••• M• G••••••• to F•••••••• A•••• M••••••••• L•••Oct 19, 2004 · Other
Joined, latest
- M•••••• A• C•••••• from M•• F•••••••• S•••••••• I•••Mar 17, 2017 · Other
- P•••• A••••••• K•••••••• from N•••••••• B••••• B• L••Mar 8, 2016 · Other
- B••••• Y••••• D•••••• from U•• F•••••••• S••••••• I•••May 15, 2015 · Other
- K••• A•••• J•••••• from S•••••••• A••••••• L••Mar 2, 2015 · Other
- A••••••••• D•••••• from R•••• T•••• W••••• M•••••••••Apr 7, 2014 · Other
- B•••• A• M••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 5, 2008 · Other
- S•••• M• B•••• from M••••• S•••••• D• I•••Nov 23, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 11 left for G•• F•••••••• S••••••••• L••Jan 2, 2019 · Westport, Ct · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J•• · Chief Executive Officercontrolsince 01/2015 · owns less than 5%
- M••••••• J•••••• B•••••• · Managing Directorcontrolsince 01/2001 · owns less than 5%
- R••••••• M••••• · Managing Directorcontrolsince 01/1995 · owns less than 5%
- F••••••••• J•••• A•••••• · Managing Directorsince 01/2001 · owns less than 5%
- M••••••• E•••• J••••• · Chief Compliance Officersince 03/2007 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Memberdirect · owns 75% or more
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L•• · public reporting company
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
- S••••••• Pension Advisors, LLC.investment adviserLP sponsornRAUM $12B
Advisers that list R•••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,669 to 2,668Mar 24, 2018 to Mar 27, 2018
- HNW clients · 276 to 268Mar 24, 2018 to Mar 27, 2018
- Individual clients · 603 to 606Mar 24, 2018 to Mar 27, 2018
- Pension plan clients · 17 to 22Mar 24, 2018 to Mar 27, 2018
- Discretionary RAUM · $929M to $911MMar 24, 2018 to Mar 27, 2018
- HNW RAUM · $734M to $717MMar 24, 2018 to Mar 27, 2018
- Individual RAUM · $206M to $206MMar 24, 2018 to Mar 27, 2018
- Non-discretionary RAUM · $26.8M to $44.4MMar 24, 2018 to Mar 27, 2018
- Pension RAUM · $14.9M to $32.5MMar 24, 2018 to Mar 27, 2018
- RAUM · $955M to $955MMar 24, 2018 to Mar 27, 2018
- Accounts · 2,671 to 2,669Jul 31, 2017 to Mar 24, 2018
- Advisory employees · 16 to 19Jul 31, 2017 to Mar 24, 2018
- HNW clients · unset to 276.0Jul 31, 2017 to Mar 24, 2018
- Individual clients · unset to 603.0Jul 31, 2017 to Mar 24, 2018
- Pension plan clients · unset to 17.0Jul 31, 2017 to Mar 24, 2018
- Assets in custody · $37.4M to $74.9MJul 31, 2017 to Mar 24, 2018
- Custody of client assets · true to falseJul 31, 2017 to Mar 24, 2018
- Employees · 21 to 23Jul 31, 2017 to Mar 24, 2018
- Financial planning clients · 51-100 to 101-250Jul 31, 2017 to Mar 24, 2018
- Other offices · unset to 0.0Jul 31, 2017 to Mar 24, 2018
- Discretionary RAUM · $806M to $929MJul 31, 2017 to Mar 24, 2018
- HNW RAUM · unset to 734080227.0Jul 31, 2017 to Mar 24, 2018
- Individual RAUM · unset to 206423144.0Jul 31, 2017 to Mar 24, 2018
- Non-discretionary RAUM · $2.6M to $26.8MJul 31, 2017 to Mar 24, 2018
- Pension RAUM · unset to 14914793.0Jul 31, 2017 to Mar 24, 2018
- Pooled vehicle RAUM · unset to 0.0Jul 31, 2017 to Mar 24, 2018
- RAUM · $809M to $955MJul 31, 2017 to Mar 24, 2018
- Related bank · false to trueJul 31, 2017 to Mar 24, 2018
- Accounts · 2,625 to 2,671Mar 28, 2016 to Mar 21, 2017
- Advisory employees · 17 to 16Mar 28, 2016 to Mar 21, 2017
- Assets in custody · $30.9M to $37.4MMar 28, 2016 to Mar 21, 2017
- Employees · 22 to 21Mar 28, 2016 to Mar 21, 2017
- Financial planning clients · 26-50 to 51-100Mar 28, 2016 to Mar 21, 2017
- State-registered IARs · 17 to 16Mar 28, 2016 to Mar 21, 2017
- Discretionary RAUM · $797M to $806MMar 28, 2016 to Mar 21, 2017
- Non-discretionary RAUM · $97,000 to $2.6MMar 28, 2016 to Mar 21, 2017
- RAUM · $797M to $809MMar 28, 2016 to Mar 21, 2017
- Accounts · 2,712 to 2,625Mar 24, 2015 to Mar 28, 2016
- Advisory employees · 12 to 17Mar 24, 2015 to Mar 28, 2016
- Business name · R•••••• I••••••••• A•••••••• L•• to R•••••• A•••••••Mar 24, 2015 to Mar 28, 2016
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