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
Chess Financial Corp
Latest filing Nov 7, 2011
First filing on the tape Nov 7, 2011 · 1 filings
RAUM
$455M
reported, Item 5.F
Discretionary
0.0%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $455M
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Nov 7, 2011; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $706,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, otherreportedItem 5.G
- Custody
- $567M, 155 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
- 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)
- 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)
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
- 645reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $567M for 155 clientsreported
- Compensation
- 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
- Bradley Earl Turner to Clearstead; Clearstead Advisory SolutionsMar 30, 2012 · Other
- John (Nmn) Marino to Clearstead; Clearstead Advisory SolutionsMar 30, 2012 · Other
- Michael Stephen Dearden to Clearstead; Clearstead Advisory SolutionsMar 30, 2012 · Other
- Steven Francis Wolken to Clearstead; Clearstead Advisory SolutionsMar 30, 2012 · Other
- Andrew Jacob Riffle to Citigroup Global Markets Inc.Nov 12, 2008 · Other
- Michael Thomas Novak to Wellspring Family OfficeFeb 27, 2007 · Other
Joined, latest
- Michael Stephen Dearden from Cambridge Investment Research Advisors, Inc.Jan 2, 2008 · Other
- Bradley Earl Turner from Strategic Advisers LLCMay 15, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Paul Gregory Althans · Senior Managing Directorcontrolsince 08/2010 · owns less than 5%
- Theodore James Bartlett · Chairman Of The Boardcontrolsince 12/2001 · owns less than 5%
- Campbell David Fulton · President/Chief Operating Officercontrolsince 12/2009 · owns less than 5%
- James Thomas Hartland · Chief Executive Officercontrolsince 06/1989 · owns less than 5%
- Casimira Christine Sterrett · Chief Administration Officercontrolsince 01/2001 · owns less than 5%
- Justin Carl Tippit · Senior Managing Directorcontrolsince 11/2009 · owns less than 5%
- Earl Bradley Turner · Senior Managing Director, Investments/Director Of Researchcontrolsince 10/2006 · owns less than 5%
- Carl F. Walter · Vice -Chairman Of The Boardcontrolsince 10/2011 · owns less than 5%
- Francis Steven Wolken · Chief Compliance Officercontrolsince 06/2008 · owns less than 5%
- James Thomas Hartland · Chief Executive Officercontrolsince 06/1989 · owns 25% to 50% of Hartland & Co.
Entity owners
- Hartland & Co · Entitydirect · owns 75% or more
Related persons
Schedule D 7.A
- Clearstead; Clearstead Advisory Solutionsinvestment adviserRAUM $34B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
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