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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SEC-registered adviser
C••••••••• I••••••••• M•••••••••
Legal name C•• I••••••••• M••••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 31, 2012 · 20 filings
SEC status approved since Jul 28, 1994
RAUM
$1.3B
reported, Item 5.F
Discretionary
97%
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
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.3B as of Mar 30, 2026
Mar 31, 2012$881M then
HNW client RAUM$0 as of Mar 31, 2021
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20120 then
Employees (5.A)7 as of Mar 30, 2026
Mar 28, 20137 then
Private funds: no history
RAUM +9.5% over the last fiscal year+7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- $20.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 97%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
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, publications, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$771M60%
- Pension and profit-sharing plans$359M28%
- Insurance companies$114M8.9%
- Other investment advisers$32.0M2.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 21reported
- Charitable clients
- n/areported
- Accounts
- 63reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $28.5M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.03 institutional_share=0.97 related_bd=false related_bank=false bd_reps=0.0derived
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
- S••••• Z••••• to R•••••••• A•••••••Sep 23, 2019 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• A•••••• C•••••• · Presidentcontrolsince 01/2003 · owns 75% or more
- M•••••• S••••• M•••••• · Chief Administative Officersince 06/2008 · owns less than 5%
- S•••••••• J•••••• R••••• · Senior Vice Presidentsince 09/2009 · owns less than 5%
- S•••••• A••••••• L••••• · Chief Compliance Officersince 03/2010 · owns less than 5%
Related persons
Schedule D 7.A
- R••••• W••• F•••••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 61 to 63Mar 25, 2025 to Mar 30, 2026
- Pension plan clients · 19 to 21Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.1B to $1.2BMar 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $25.1M to $32.0MMar 25, 2025 to Mar 30, 2026
- Pension RAUM · $320M to $359MMar 25, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.3BMar 25, 2025 to Mar 30, 2026
- Wrap assets (manager) · $26.6M to $28.5MMar 25, 2025 to Mar 30, 2026
- Accounts · 62 to 61Mar 27, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.1B to $1.1BMar 27, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $23.4M to $25.1MMar 27, 2024 to Mar 25, 2025
- Pension RAUM · $310M to $320MMar 27, 2024 to Mar 25, 2025
- RAUM · $1.1B to $1.2BMar 27, 2024 to Mar 25, 2025
- Wrap assets (manager) · $26.0M to $26.6MMar 27, 2024 to Mar 25, 2025
- Accounts · 68 to 62Mar 29, 2023 to Mar 27, 2024
- Advisory activities · 3 to 4Mar 29, 2023 to Mar 27, 2024
- Business name · C•• I••••••••• M••••••••• I•• to C••••••••• I••••••••• M•••••••••Mar 29, 2023 to Mar 27, 2024
- State-registered IARs · 4 to 0Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $989M to $1.1BMar 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $47.0M to $23.4MMar 29, 2023 to Mar 27, 2024
- Pension RAUM · $271M to $310MMar 29, 2023 to Mar 27, 2024
- RAUM · $1.0B to $1.1BMar 29, 2023 to Mar 27, 2024
- Wrap assets (manager) · $24.2M to $26.0MMar 29, 2023 to Mar 27, 2024
- Accounts · 66 to 68Mar 30, 2022 to Mar 29, 2023
- Advisory employees · 9 to 7Mar 30, 2022 to Mar 29, 2023
- Advisory activities · 1 to 3Mar 30, 2022 to Mar 29, 2023
- Pension plan clients · 14 to 19Mar 30, 2022 to Mar 29, 2023
- Employees · 9 to 7Mar 30, 2022 to Mar 29, 2023
- State-registered IARs · 5 to 4Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $858M to $989MMar 30, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $59.5M to $47.0MMar 30, 2022 to Mar 29, 2023
- Pension RAUM · $90.8M to $271MMar 30, 2022 to Mar 29, 2023
- RAUM · $918M to $1.0BMar 30, 2022 to Mar 29, 2023
- Wrap assets (manager) · $28.3M to $24.2MMar 30, 2022 to Mar 29, 2023
- Accounts · 63 to 66Mar 31, 2021 to Mar 30, 2022
- Advisory employees · 8 to 9Mar 31, 2021 to Mar 30, 2022
- Advisory activities · 2 to 1Mar 31, 2021 to Mar 30, 2022
- Charity clients · 0.0 to unsetMar 31, 2021 to Mar 30, 2022
- Corporate clients · 0.0 to unsetMar 31, 2021 to Mar 30, 2022
- HNW clients · 0.0 to unsetMar 31, 2021 to Mar 30, 2022
Signals
1 dated events
- C••••••••• I••••••••• M••••••••• reported RAUM $669.3M, down 56% from $1.5B (2018-03-29 to 2019-03-29)Mar 29, 2019 · 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 412-765-2771reportedpublic record, Form ADV, Mar 30, 2026
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
- Institutional managerderiveda 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