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
D••• H••• • C••
Latest filing Feb 11, 2019
First filing on the tape Feb 14, 2012 · 12 filings
RAUM
$166M
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
100%
$166M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$166M as of Feb 11, 2019
Feb 14, 2012$133M then
HNW client RAUM$166M as of Feb 11, 2019
Feb 9, 2018$128M then
State-registered IARs (5.B.3)0 as of Feb 11, 2019
Feb 14, 20120 then
Employees (5.A)1 as of Feb 11, 2019
Feb 20, 20131 then
Private funds: no history
RAUM +30% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 11, 2019; 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
- $11.9MderivedHNW RAUM over HNW clients
- Average account
- $7.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 56%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$166M100%
- Individual clients
- 0reported
- HNW clients
- 14reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 21reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• D•••••• P••••••• · Chief Compliance Officer/Presidentcontrolsince 11/1975 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 22 to 21Feb 9, 2018 to Feb 11, 2019
- Discretionary RAUM · $102M to $93.1MFeb 9, 2018 to Feb 11, 2019
- HNW RAUM · $128M to $166MFeb 9, 2018 to Feb 11, 2019
- Non-discretionary RAUM · $26.8M to $73.3MFeb 9, 2018 to Feb 11, 2019
- RAUM · $128M to $166MFeb 9, 2018 to Feb 11, 2019
- Accounts · 23 to 22Feb 13, 2017 to Feb 9, 2018
- Charity clients · unset to 0.0Feb 13, 2017 to Feb 9, 2018
- Corporate clients · unset to 0.0Feb 13, 2017 to Feb 9, 2018
- HNW clients · unset to 14.0Feb 13, 2017 to Feb 9, 2018
- Individual clients · unset to 0.0Feb 13, 2017 to Feb 9, 2018
- Pension plan clients · unset to 0.0Feb 13, 2017 to Feb 9, 2018
- Pooled vehicle clients · unset to 0.0Feb 13, 2017 to Feb 9, 2018
- HQ city · PARADISE VALLEY to unsetFeb 13, 2017 to Feb 9, 2018
- HQ state · AZ to unsetFeb 13, 2017 to Feb 9, 2018
- Other offices · unset to 1.0Feb 13, 2017 to Feb 9, 2018
- Discretionary RAUM · $88.4M to $102MFeb 13, 2017 to Feb 9, 2018
- HNW RAUM · unset to 128493018.0Feb 13, 2017 to Feb 9, 2018
- Non-discretionary RAUM · $22.4M to $26.8MFeb 13, 2017 to Feb 9, 2018
- RAUM · $111M to $128MFeb 13, 2017 to Feb 9, 2018
- Accounts · 31 to 23Nov 1, 2016 to Feb 13, 2017
- Discretionary RAUM · $90.2M to $88.4MNov 1, 2016 to Feb 13, 2017
- Non-discretionary RAUM · $25.9M to $22.4MNov 1, 2016 to Feb 13, 2017
- RAUM · $116M to $111MNov 1, 2016 to Feb 13, 2017
- Accounts · 30 to 31Feb 26, 2015 to Feb 15, 2016
- Discretionary RAUM · $97.5M to $90.2MFeb 26, 2015 to Feb 15, 2016
- Non-discretionary RAUM · $26.1M to $25.9MFeb 26, 2015 to Feb 15, 2016
- RAUM · $124M to $116MFeb 26, 2015 to Feb 15, 2016
- Accounts · 32 to 30Feb 12, 2014 to Feb 19, 2015
- Discretionary RAUM · $98.6M to $97.5MFeb 12, 2014 to Feb 19, 2015
- Non-discretionary RAUM · $30.0M to $26.1MFeb 12, 2014 to Feb 19, 2015
- RAUM · $129M to $124MFeb 12, 2014 to Feb 19, 2015
- Accounts · 36 to 32Feb 20, 2013 to Feb 12, 2014
- Discretionary RAUM · $95.6M to $98.6MFeb 20, 2013 to Feb 12, 2014
- Non-discretionary RAUM · $38.1M to $30.0MFeb 20, 2013 to Feb 12, 2014
- RAUM · $134M to $129MFeb 20, 2013 to Feb 12, 2014
- Employees · unset to 1.0Aug 13, 2012 to Feb 20, 2013
- Discretionary RAUM · $92.3M to $95.6MAug 13, 2012 to Feb 20, 2013
- Non-discretionary RAUM · $40.9M to $38.1MAug 13, 2012 to Feb 20, 2013
- RAUM · $133M to $134MAug 13, 2012 to Feb 20, 2013
- HQ city · SAN FRANCISCO to PARADISE VALLEYFeb 14, 2012 to Aug 13, 2012
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