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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
A••••••• I•••••••• A••••••• I••
Latest filing May 21, 2020
First filing on the tape Feb 23, 2012 · 9 filings
RAUM
$29,466
reported, Item 5.F
Discretionary
100%
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$29,466 as of May 21, 2020
Feb 23, 2012$3.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 21, 2020
Feb 23, 20120 then
Employees (5.A)2 as of May 21, 2020
Mar 14, 20132 then
Private funds: no history
RAUM -90% over the last fiscal year-86% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 21, 2020; every figure names its basis
- RAUM per advisor
- $29,466derivedRAUM 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
- $29,466derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -90%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$29,466100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- D••••• J•••••• M••••• · Chairmancontrolsince 10/1993 · owns 75% or more
- S••••••••• M••••••• V•••••• · Chief Compliance Officer/Treasurercontrolsince 02/2014 · owns less than 5%
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
- Discretionary RAUM · $309,548 to $29,466Mar 21, 2019 to May 21, 2020
- RAUM · $309,548 to $29,466Mar 21, 2019 to May 21, 2020
- Discretionary RAUM · $12.7M to $309,548Mar 28, 2018 to Mar 21, 2019
- RAUM · $12.7M to $309,548Mar 28, 2018 to Mar 21, 2019
- Other offices · unset to 0.0Feb 23, 2017 to Mar 28, 2018
- Discretionary RAUM · $11.9M to $12.7MFeb 23, 2017 to Mar 28, 2018
- RAUM · $11.9M to $12.7MFeb 23, 2017 to Mar 28, 2018
- Discretionary RAUM · $9.5M to $11.9MMar 24, 2016 to Feb 23, 2017
- RAUM · $9.5M to $11.9MMar 24, 2016 to Feb 23, 2017
- Employees · 3 to 2Mar 20, 2015 to Mar 24, 2016
- Discretionary RAUM · $10.7M to $9.5MMar 20, 2015 to Mar 24, 2016
- RAUM · $10.7M to $9.5MMar 20, 2015 to Mar 24, 2016
- Discretionary RAUM · $8.3M to $10.7MMar 13, 2014 to Mar 20, 2015
- RAUM · $8.3M to $10.7MMar 13, 2014 to Mar 20, 2015
- Advisory employees · 2 to 1Mar 14, 2013 to Mar 13, 2014
- Employees · 2 to 3Mar 14, 2013 to Mar 13, 2014
- Discretionary RAUM · $5.9M to $8.3MMar 14, 2013 to Mar 13, 2014
- RAUM · $5.9M to $8.3MMar 14, 2013 to Mar 13, 2014
- Advisory employees · unset to 2.0Feb 23, 2012 to Mar 14, 2013
- BD registered reps · unset to 1.0Feb 23, 2012 to Mar 14, 2013
- Employees · unset to 2.0Feb 23, 2012 to Mar 14, 2013
- State-registered IARs · 0 to 1Feb 23, 2012 to Mar 14, 2013
- Discretionary RAUM · $3.7M to $5.9MFeb 23, 2012 to Mar 14, 2013
- RAUM · $3.7M to $5.9MFeb 23, 2012 to Mar 14, 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