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.

Former SEC-registered adviser

Monroe Vos Consulting, Inc.

Former SEC-registered adviserHouston, TexasCRD 107315SEC 801-48058IAPD
Latest filing Mar 27, 2023
First filing on the tape Mar 23, 2012 · 26 filings
RAUM
$5.9B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
7.6%
$448M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$5.9B as of Mar 27, 2023
Mar 23, 2012$5.2B then
HNW client RAUM$440M as of Mar 27, 2023
Mar 30, 2018$358M then
State-registered IARs (5.B.3)6 as of Mar 27, 2023
Mar 23, 20120 then
Employees (5.A)17 as of Mar 27, 2023
Mar 28, 20138 then
Private funds: no history
RAUM -18% over the last fiscal year+1.4% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 27, 2023; every figure names its basis
RAUM per advisor
$978MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
9derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$11.0MderivedHNW RAUM over HNW clients
Average account
$10.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
74%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.8%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$832M, 50 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • 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)
  • controlled by a public reporting company (10.A)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$3.4B59%
  • Corporations and businesses$1.1B19%
  • Charitable organizations$533M9.1%
  • High-net-worth individuals$440M7.5%
  • State and municipal entities$202M3.4%
  • Insurance companies$162M2.8%
  • Individuals$7.9M0.1%
Individual clients
14reported
HNW clients
40reported
Pension plan clients
19reported
Charitable clients
22reported
Accounts
578reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$832M for 50 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Jamison Monroe · Chairman/Ceo/Cfocontrol
        since 12/1994 · owns less than 5%
      • Lynn Julie Swanson · President/Secretary/Chief Compliance Officer/Coocontrol
        since 01/2003 · owns less than 5%
      • John Timothy Vos · Co-Chairmancontrol
        since 12/1994 · owns less than 5%
      • Stuart Benjamin Goldstein · Board Of Managerscontrol
        since 04/2010 · owns F of The Capfinancial Group, LLC
      • Smith Wilson Hoyle · Board Of Managerscontrol
        since 05/2015 · owns F of The Capfinancial Group, LLC
      • Fielding James Miller · Board Of Managerscontrol
        since 05/2015 · owns F of The Capfinancial Group, LLC
      • Fielding James Miller · Directorcontrol
        since 05/2015 · owns 25% to 50% of Capfinancial Holdings, Inc.
      • Alston Rucker Timothy Callahan · Executive Vice President
        since 01/2003 · owns less than 5%
      • S Michael Hollander · Board Of Managers
        since 06/2020 · owns F of The Capfinancial Group, LLC
      • Edward Collin Roche · Board Of Managers
        since 06/2020 · owns F of The Capfinancial Group, LLC
      • Marie Dasha Smith · Board Of Managers
        since 08/2020 · owns F of The Capfinancial Group, LLC
      • G Robert Solomon · Board Of Managers
        since 05/2015 · owns F of The Capfinancial Group, LLC
      • G Robert Solomon · Director
        since 05/2015 · owns F of Capfinancial Holdings, Inc.
      • Sanford Mark Wilson · Board Of Managers
        since 06/2020 · owns F of The Capfinancial Group, LLC
      Entity owners
      • The Capfinancial Group, LLC · Owner/Member
        direct · owns 75% or more
      • Capfinancial Holdings, Inc. · Member
        indirect · owns 25% to 50% of The Capfinancial Group, LLC
      • Gtcr Fund Xii/B LP · Member
        indirect · owns 75% or more of Halftime Holdings LLC
      • Halftime Holdings LLC · Voting And Non-Voting Member
        indirect · owns 25% to 50% of The Capfinancial Group, LLC
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Birmingham, AL1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 536 to 578
        Feb 16, 2023 to Mar 27, 2023
      • HNW clients · 42 to 40
        Feb 16, 2023 to Mar 27, 2023
      • Individual clients · 13 to 14
        Feb 16, 2023 to Mar 27, 2023
      • Pension plan clients · 20 to 19
        Feb 16, 2023 to Mar 27, 2023
      • Assets in custody · $845M to $832M
        Feb 16, 2023 to Mar 27, 2023
      • Insurance-licensed employees · 0 to 6
        Feb 16, 2023 to Mar 27, 2023
      • HNW RAUM · $435M to $440M
        Feb 16, 2023 to Mar 27, 2023
      • Individual RAUM · $5.7M to $7.9M
        Feb 16, 2023 to Mar 27, 2023
      • Non-discretionary RAUM · $7.1B to $5.9B
        Feb 16, 2023 to Mar 27, 2023
      • Pension RAUM · $4.3B to $3.4B
        Feb 16, 2023 to Mar 27, 2023
      • RAUM · $7.1B to $5.9B
        Feb 16, 2023 to Mar 27, 2023
      • Related adviser · false to true
        Dec 16, 2022 to Feb 16, 2023
      • Related broker-dealer · false to true
        Dec 16, 2022 to Feb 16, 2023
      • Accounts · 549 to 536
        Feb 15, 2022 to Mar 24, 2022
      • HNW clients · 40 to 42
        Feb 15, 2022 to Mar 24, 2022
      • Pension plan clients · 21 to 20
        Feb 15, 2022 to Mar 24, 2022
      • Commission compensation · true to false
        Feb 15, 2022 to Mar 24, 2022
      • Assets in custody · $452M to $845M
        Feb 15, 2022 to Mar 24, 2022
      • State-registered IARs · 5 to 6
        Feb 15, 2022 to Mar 24, 2022
      • HNW RAUM · $410M to $435M
        Feb 15, 2022 to Mar 24, 2022
      • Individual RAUM · $7.4M to $5.7M
        Feb 15, 2022 to Mar 24, 2022
      • Non-discretionary RAUM · $6.5B to $7.1B
        Feb 15, 2022 to Mar 24, 2022
      • Pension RAUM · $3.9B to $4.3B
        Feb 15, 2022 to Mar 24, 2022
      • RAUM · $6.5B to $7.1B
        Feb 15, 2022 to Mar 24, 2022
      • BD registered reps · 6 to 0
        Nov 12, 2021 to Feb 15, 2022
      • Employees · 18 to 17
        Nov 12, 2021 to Feb 15, 2022
      • Related broker-dealer · true to false
        Nov 12, 2021 to Feb 15, 2022
      • Accounts · 473 to 549
        Nov 5, 2020 to Mar 30, 2021
      • Business name · MONROE VOS CONSULTING GROUP, INC. to MONROE VOS CONSULTING, INC.
        Nov 5, 2020 to Mar 30, 2021
      • HNW clients · 39 to 40
        Nov 5, 2020 to Mar 30, 2021
      • Individual clients · 9 to 13
        Nov 5, 2020 to Mar 30, 2021
      • Assets in custody · $433M to $452M
        Nov 5, 2020 to Mar 30, 2021
      • Legal name · THE MONROE VOS CONSULTING GROUP INC. to MONROE VOS CONSULTING, INC.
        Nov 5, 2020 to Mar 30, 2021
      • HNW RAUM · $392M to $410M
        Nov 5, 2020 to Mar 30, 2021
      • Individual RAUM · $6.4M to $7.4M
        Nov 5, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $5.6B to $6.5B
        Nov 5, 2020 to Mar 30, 2021
      • Pension RAUM · $3.6B to $3.9B
        Nov 5, 2020 to Mar 30, 2021
      • RAUM · $5.6B to $6.5B
        Nov 5, 2020 to Mar 30, 2021
      • Succession · true to false
        Nov 5, 2020 to Mar 30, 2021
      • Succession · false to true
        Jun 30, 2020 to Nov 5, 2020
      Signals
      5 dated events
      • Monroe Vos Consulting, Inc.'s advisors moved to Captrust (Houston, TX): 3 of 3 registered, on the same day
        Jul 31, 2023 · Firm absorbed (people side) · derived
      • Fielding James Miller (Director) appeared on Schedule A of Monroe Vos Consulting, Inc.
        Mar 27, 2023 · Control person joined · fact
      • Smith Wilson Hoyle (Board Of Managers) appeared on Schedule A of Monroe Vos Consulting, Inc.
        Mar 27, 2023 · Control person joined · fact
      • Stuart Benjamin Goldstein (Board Of Managers) appeared on Schedule A of Monroe Vos Consulting, Inc.
        Mar 27, 2023 · Control person joined · fact
      • Monroe Vos Consulting Group, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Nov 5, 2020 · Succession (Item 4) · 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