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••••••••• F•••••••• S••••••• I••

Former SEC-registered adviserCRD 106605SEC 801-42435IAPD
Latest filing Jan 18, 2019
First filing on the tape Feb 29, 2012 · 8 filings
RAUM
$90.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$90.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$90.2M as of Jan 18, 2019
Feb 29, 2012$136M then
HNW client RAUM$90.2M as of Jan 18, 2019
Jan 29, 2018$107M then
State-registered IARs (5.B.3)0 as of Jan 18, 2019
Feb 29, 20120 then
Employees (5.A)1 as of Jan 18, 2019
Feb 4, 20132 then
Private funds: no history
RAUM -16% over the last fiscal year-8.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 18, 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
$5.3MderivedHNW RAUM over HNW clients
Average account
$5.3MderivedRAUM 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
-16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-5.6%derived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$90.2M100%
Individual clients
0reported
HNW clients
17reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
17reported
Financial planning clients
11-25reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• J•••• T•••••• · President And Chief Compliance Officercontrol
        since 12/2001 · owns 50% to 75%
      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 · 18 to 17
        Jan 29, 2018 to Jan 18, 2019
      • HNW clients · 18 to 17
        Jan 29, 2018 to Jan 18, 2019
      • HNW RAUM · $107M to $90.2M
        Jan 29, 2018 to Jan 18, 2019
      • Non-discretionary RAUM · $107M to $90.2M
        Jan 29, 2018 to Jan 18, 2019
      • RAUM · $107M to $90.2M
        Jan 29, 2018 to Jan 18, 2019
      • Accounts · 19 to 18
        Jan 30, 2017 to Jan 29, 2018
      • Advisory activities · 3 to 2
        Jan 30, 2017 to Jan 29, 2018
      • Charity clients · unset to 0.0
        Jan 30, 2017 to Jan 29, 2018
      • Corporate clients · unset to 0.0
        Jan 30, 2017 to Jan 29, 2018
      • HNW clients · unset to 18.0
        Jan 30, 2017 to Jan 29, 2018
      • Individual clients · unset to 0.0
        Jan 30, 2017 to Jan 29, 2018
      • Pension plan clients · unset to 0.0
        Jan 30, 2017 to Jan 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Jan 30, 2017 to Jan 29, 2018
      • Other offices · unset to 0.0
        Jan 30, 2017 to Jan 29, 2018
      • HNW RAUM · unset to 107042950.0
        Jan 30, 2017 to Jan 29, 2018
      • Individual RAUM · unset to 0.0
        Jan 30, 2017 to Jan 29, 2018
      • Non-discretionary RAUM · $99.8M to $107M
        Jan 30, 2017 to Jan 29, 2018
      • Pension RAUM · unset to 0.0
        Jan 30, 2017 to Jan 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jan 30, 2017 to Jan 29, 2018
      • RAUM · $99.8M to $107M
        Jan 30, 2017 to Jan 29, 2018
      • Non-discretionary RAUM · $118M to $99.8M
        Jan 15, 2016 to Jan 30, 2017
      • RAUM · $118M to $99.8M
        Jan 15, 2016 to Jan 30, 2017
      • Accounts · 22 to 19
        Jan 30, 2015 to Jan 15, 2016
      • Non-discretionary RAUM · $135M to $118M
        Jan 30, 2015 to Jan 15, 2016
      • RAUM · $135M to $118M
        Jan 30, 2015 to Jan 15, 2016
      • Advisory employees · 2 to 1
        Feb 13, 2014 to Jan 30, 2015
      • Employees · 2 to 1
        Feb 13, 2014 to Jan 30, 2015
      • Non-discretionary RAUM · $144M to $135M
        Feb 13, 2014 to Jan 30, 2015
      • RAUM · $144M to $135M
        Feb 13, 2014 to Jan 30, 2015
      • Accounts · 23 to 22
        Feb 4, 2013 to Feb 13, 2014
      • Non-discretionary RAUM · $128M to $144M
        Feb 4, 2013 to Feb 13, 2014
      • RAUM · $128M to $144M
        Feb 4, 2013 to Feb 13, 2014
      • Advisory employees · unset to 2.0
        Feb 29, 2012 to Feb 4, 2013
      • Employees · unset to 2.0
        Feb 29, 2012 to Feb 4, 2013
      • Non-discretionary RAUM · $136M to $128M
        Feb 29, 2012 to Feb 4, 2013
      • RAUM · $136M to $128M
        Feb 29, 2012 to Feb 4, 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