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••••••• S••••••••
Legal name M•••••• A•••••• S••••••• I••
Latest filing Mar 18, 2021
First filing on the tape Mar 22, 2012 · 23 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
63%
$661M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.0B as of Mar 3, 2021
Mar 22, 2012$517M then
HNW client RAUM$517M as of Mar 3, 2021
Mar 20, 2018$407M then
State-registered IARs (5.B.3)7 as of Mar 3, 2021
Mar 4, 20137 then
Employees (5.A)11 as of Mar 3, 2021
Mar 4, 201313 then
Private funds: no history
RAUM +9.3% over the last fiscal year+6.8% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 18, 2021; every figure names its basis
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $663,015derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $45.1M, 57 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
- 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 cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$517M49%
- Pension and profit-sharing plans$286M27%
- Individuals$144M14%
- Sovereign wealth funds$81.4M7.8%
- Charitable organizations$17.7M1.7%
- Corporations and businesses$2.3M0.2%
- Individual clients
- 287reported
- HNW clients
- 180reported
- Pension plan clients
- 25reported
- Charitable clients
- n/areported
- Accounts
- 1,581reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.1M for 57 clientsreported
- Compensation
- % of AUM, 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
- R••••• G••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 19, 2021 · RIA to affiliated broker-dealer or bank
- L•••• F•••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 19, 2021 · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 19, 2021 · RIA to affiliated broker-dealer or bank
- B•••• C• F•••••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 19, 2021 · RIA to affiliated broker-dealer or bank
- J••• J••••• P•••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 19, 2021 · RIA to affiliated broker-dealer or bank
- F•••••• C•••••• A•••••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 19, 2021 · RIA to affiliated broker-dealer or bank
- A••• J•••• W••••• to S•••• S••••• W••••• L••Jun 23, 2021 · RIA to RIA
- B•••• P•••••• T••••••• to P•••••••• S••••••••• I•••Aug 5, 2008 · Other
- C•••••••• M•••••• P••••• to A•••••• W••••• A•••••••Feb 1, 2008 · Other
- G•••••••• R••••• to U•• F•••••••• S••••••• I•••Jul 24, 2007 · Other
- S••••• T••• M••••• to F•••••••• A••••••• C••••••••• L••Jul 20, 2005 · Other
Joined, latest
- L•••• F•••••• from S•••••••• F••••••••• I•••Feb 4, 2015 · Other
- B•••• C• F•••••••• from E•••••••• A•••••••• L••Aug 20, 2012 · Other
- J••• J••••• P•••••• from O•••• F•• I•••Oct 30, 2008 · Other
- R••••• G••••• from P••••••••• W••••• A•••••••Feb 20, 2008 · Other
- A••• J•••• W••••• from M•••• W•••••Feb 15, 2008 · Other
- B•••• P•••••• T••••••• from R•••••• J•••• F•••••••• S•••••••• I•••Oct 31, 2007 · Other
- C•••••••• M•••••• P••••• from S••••• X•••• S•••••••• S••••• W••••• M•••••••••May 22, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for W••••• E••••••••• A••••••• S•••••••• L••Nov 19, 2021 · Coconut Grove, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• F••••••• C•••••• · President, Trustee Of F•••• A•••••••• L••••• T••••controlsince 01/1993 · owns 50% to 75%
- F••••••• L••••• L•••••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- F••••••• R••••••• J•••• · Shareholdercontrolsince 09/2014 · owns 25% to 50%
- F••••••••• B••••• C• · Trustee Of B•••• F•••••••• R•••••••• T••••since 06/2013 · owns 5% to 10%
- G•••••• R•••••• J••••• · Trustee Of R••••• G••••• R•••••••• Trustsince 06/2006 · owns 5% to 10%
Entity owners
- F•••• A•••••••• L••••• T•••• · Shareholderdirect · owns 50% to 75%
- B•••• F•••••••• R•••••••• T•••• · Shareholderdirect · owns 5% to 10%
- R••••• J• G••••• R•••••••• T•••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- I••••••• T•• S•••••••• L••insurancen
- L•••• L•••••• F••••••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,444 to 1,581Oct 12, 2020 to Mar 3, 2021
- Advisory employees · 8 to 7Oct 12, 2020 to Mar 3, 2021
- Charity clients · 3.0 to unsetOct 12, 2020 to Mar 3, 2021
- Corporate clients · 7.0 to unsetOct 12, 2020 to Mar 3, 2021
- HNW clients · 181 to 180Oct 12, 2020 to Mar 3, 2021
- Individual clients · 281 to 287Oct 12, 2020 to Mar 3, 2021
- Pension plan clients · 17 to 25Oct 12, 2020 to Mar 3, 2021
- Assets in custody · $37.1M to $45.1MOct 12, 2020 to Mar 3, 2021
- State-registered IARs · 8 to 7Oct 12, 2020 to Mar 3, 2021
- Discretionary RAUM · $942M to $1.0BOct 12, 2020 to Mar 3, 2021
- HNW RAUM · $473M to $517MOct 12, 2020 to Mar 3, 2021
- Individual RAUM · $106M to $144MOct 12, 2020 to Mar 3, 2021
- Non-discretionary RAUM · $17.1M to $22.0MOct 12, 2020 to Mar 3, 2021
- Pension RAUM · $258M to $286MOct 12, 2020 to Mar 3, 2021
- RAUM · $959M to $1.0BOct 12, 2020 to Mar 3, 2021
- Related insurance company · false to trueMay 28, 2020 to Oct 12, 2020
- Accounts · 1,274 to 1,444Jan 15, 2020 to Mar 10, 2020
- Advisory employees · 7 to 8Jan 15, 2020 to Mar 10, 2020
- Charity clients · 6 to 3Jan 15, 2020 to Mar 10, 2020
- HNW clients · 152 to 181Jan 15, 2020 to Mar 10, 2020
- Individual clients · 301 to 281Jan 15, 2020 to Mar 10, 2020
- Pension plan clients · 21 to 17Jan 15, 2020 to Mar 10, 2020
- Pooled vehicle clients · unset to 0.0Jan 15, 2020 to Mar 10, 2020
- Assets in custody · $177M to $37.1MJan 15, 2020 to Mar 10, 2020
- State-registered IARs · 7 to 8Jan 15, 2020 to Mar 10, 2020
- Discretionary RAUM · $599M to $942MJan 15, 2020 to Mar 10, 2020
- HNW RAUM · $381M to $473MJan 15, 2020 to Mar 10, 2020
- Individual RAUM · $113M to $106MJan 15, 2020 to Mar 10, 2020
- Non-discretionary RAUM · $218M to $17.1MJan 15, 2020 to Mar 10, 2020
- Pension RAUM · $212M to $258MJan 15, 2020 to Mar 10, 2020
- RAUM · $817M to $959MJan 15, 2020 to Mar 10, 2020
- Accounts · 1,293 to 1,274Mar 20, 2018 to Mar 1, 2019
- Advisory employees · 8 to 7Mar 20, 2018 to Mar 1, 2019
- HNW clients · 164 to 152Mar 20, 2018 to Mar 1, 2019
- Individual clients · 307 to 301Mar 20, 2018 to Mar 1, 2019
- Pension plan clients · 16 to 21Mar 20, 2018 to Mar 1, 2019
- Assets in custody · $145M to $177MMar 20, 2018 to Mar 1, 2019
- Employees · 12 to 11Mar 20, 2018 to Mar 1, 2019
- State-registered IARs · 8 to 7Mar 20, 2018 to Mar 1, 2019
- Discretionary RAUM · $642M to $599MMar 20, 2018 to Mar 1, 2019
Signals
2 dated events
- David Seiglie (Chief Compliance Officer) no longer on Schedule A of I••••••• S•••••••• (listed 2021-03-03, absent 2021-03-18)Mar 18, 2021 · Control person left · inference
- Leonard L•••• F•••••• (Chief Compliance Officer) appeared on Schedule A of I••••••• S••••••••Mar 18, 2021 · Control person joined · fact
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