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
I••
Legal name I••••••••• M••••••••• C••••••••• I••
Latest filing May 13, 2016
First filing on the tape Mar 21, 2012 · 9 filings
RAUM
$421M
reported, Item 5.F
Discretionary
29%
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
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$421M as of Mar 17, 2016
Mar 21, 2012$304M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 17, 2016
Mar 21, 20120 then
Employees (5.A)6 as of Mar 17, 2016
Feb 14, 20136 then
Private funds: no history
RAUM -3.5% over the last fiscal year+7.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 13, 2016; every figure names its basis
- RAUM per advisor
- $105MderivedRAUM 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
- $928,457derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 29%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.5%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, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
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
- 453reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- 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
- W•••••• B• N•••• to G••••••••• I••••••••• M••••••••• L••Sep 22, 2016 · Other
- J•••••••• M•••• P•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 22, 2016 · Other
Joined, latest
- J•••••••• M•••• P•••••• from K•• F•••••••• S•••••••• I••Feb 12, 2015 · Other
- W•••••• B• N•••• from K•• F•••••••• S•••••••• I••Mar 17, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• D••••• J••• · Cfo, Chief Compliance Officercontrolsince 11/1997 · owns 50% to 75%
- E••••• R•••••• B•••• · Presidentcontrolsince 08/1994 · owns 25% to 50%
Related persons
Schedule D 7.A
- K•• F•••••••• S••••••• I•••broker-dealercustodiann
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 425 to 453Mar 9, 2015 to Mar 17, 2016
- Advisory employees · 5 to 4Mar 9, 2015 to Mar 17, 2016
- BD registered reps · 7 to 6Mar 9, 2015 to Mar 17, 2016
- Employees · 7 to 6Mar 9, 2015 to Mar 17, 2016
- Discretionary RAUM · $123M to $121MMar 9, 2015 to Mar 17, 2016
- Non-discretionary RAUM · $313M to $300MMar 9, 2015 to Mar 17, 2016
- RAUM · $436M to $421MMar 9, 2015 to Mar 17, 2016
- Accounts · 347 to 425Mar 31, 2014 to Mar 9, 2015
- Advisory employees · 4 to 5Mar 31, 2014 to Mar 9, 2015
- State-registered IARs · 5 to 4Mar 31, 2014 to Mar 9, 2015
- Discretionary RAUM · $107M to $123MMar 31, 2014 to Mar 9, 2015
- Non-discretionary RAUM · $290M to $313MMar 31, 2014 to Mar 9, 2015
- RAUM · $398M to $436MMar 31, 2014 to Mar 9, 2015
- Accounts · 335 to 347Mar 18, 2013 to Mar 5, 2014
- Advisory employees · 3 to 4Mar 18, 2013 to Mar 5, 2014
- BD registered reps · 3 to 7Mar 18, 2013 to Mar 5, 2014
- Employees · 4 to 7Mar 18, 2013 to Mar 5, 2014
- State-registered IARs · 3 to 5Mar 18, 2013 to Mar 5, 2014
- Discretionary RAUM · $76.0M to $107MMar 18, 2013 to Mar 5, 2014
- Non-discretionary RAUM · $261M to $290MMar 18, 2013 to Mar 5, 2014
- RAUM · $337M to $398MMar 18, 2013 to Mar 5, 2014
- Employees · 6 to 4Feb 14, 2013 to Mar 18, 2013
- Accounts · 348 to 335Mar 21, 2012 to Feb 14, 2013
- Advisory employees · unset to 3.0Mar 21, 2012 to Feb 14, 2013
- BD registered reps · unset to 3.0Mar 21, 2012 to Feb 14, 2013
- Employees · unset to 6.0Mar 21, 2012 to Feb 14, 2013
- State-registered IARs · 0 to 3Mar 21, 2012 to Feb 14, 2013
- Discretionary RAUM · $64.4M to $76.0MMar 21, 2012 to Feb 14, 2013
- Non-discretionary RAUM · $240M to $261MMar 21, 2012 to Feb 14, 2013
- RAUM · $304M to $337MMar 21, 2012 to Feb 14, 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