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
F•• A••••••• I••
Latest filing Aug 23, 2021
First filing on the tape Feb 8, 2012 · 21 filings
RAUM
$485M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
90%
$438M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$485M as of Mar 17, 2021
Feb 8, 2012$577M then
HNW client RAUM$322M as of Mar 17, 2021
Mar 23, 2018$230M then
State-registered IARs (5.B.3)3 as of Mar 17, 2021
Mar 15, 20133 then
Employees (5.A)5 as of Mar 17, 2021
Mar 15, 20138 then
Private funds: no history
RAUM +11% over the last fiscal year+6.0% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Aug 23, 2021; every figure names its basis
- RAUM per advisor
- $162MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 248derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $424,986derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +94%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- High-net-worth individuals$322M66%
- Individuals$116M24%
- Pension and profit-sharing plans$46.8M9.7%
- Individual clients
- 608reported
- HNW clients
- 136reported
- Pension plan clients
- 10reported
- Charitable clients
- 0reported
- Accounts
- 1,141reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- J••••• F••••••• S•••• to S•••• W••••• M••••••••• L••Mar 16, 2021 · RIA to a state-registered adviser
- S•••• D•••• E•••• to R•• P•••••• W•••••Dec 17, 2020 · RIA to RIA
- E••••• B•••••• O••••••• to R•••• W••••• A••••••• L••Dec 31, 2015 · Other
- J••••••• A•• C•••••• to R•••• W••••• A••••••• L••Dec 28, 2015 · Other
- J••• A•••••• O••••• to I••••••••• W••••• C••••••• L••Dec 28, 2015 · Other
- N••••• D•••• R••••••• to W••••••••• R••••••••• A•••••••Aug 4, 2010 · Other
Joined, latest
- J••••• F••••••• S•••• from W•••••••• A••••••• I••Jun 28, 2019 · RIA to RIA
- E••••• B•••••• O••••••• from S••••••• C•••••• M•••••••••Jan 19, 2011 · Other
- N••••• D•••• R••••••• from A•• A•••• M••••••••• I•••Jun 20, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R•••• W••••• A••••••• L••Dec 28, 2015 · Harrisburg, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• J•••• J••••• · Co-Chief Investment Officer And Chief Compliance Officercontrolsince 08/2021 · owns 10% to 25%
- L••••••• P••••• J••••• · Principalcontrolsince 09/1990 · 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 · 1,089 to 1,141Jun 2, 2020 to Mar 17, 2021
- Advisory employees · 4 to 3Jun 2, 2020 to Mar 17, 2021
- HNW clients · 113 to 136Jun 2, 2020 to Mar 17, 2021
- Individual clients · 271 to 608Jun 2, 2020 to Mar 17, 2021
- Pension plan clients · 15 to 10Jun 2, 2020 to Mar 17, 2021
- Employees · 6 to 5Jun 2, 2020 to Mar 17, 2021
- State-registered IARs · 4 to 3Jun 2, 2020 to Mar 17, 2021
- Discretionary RAUM · $423M to $474MJun 2, 2020 to Mar 17, 2021
- HNW RAUM · $309M to $322MJun 2, 2020 to Mar 17, 2021
- Individual RAUM · $94.2M to $116MJun 2, 2020 to Mar 17, 2021
- Non-discretionary RAUM · $14.3M to $10.7MJun 2, 2020 to Mar 17, 2021
- Pension RAUM · $34.3M to $46.8MJun 2, 2020 to Mar 17, 2021
- RAUM · $438M to $485MJun 2, 2020 to Mar 17, 2021
- Accounts · 1,098 to 1,089Mar 15, 2019 to Mar 16, 2020
- Advisory employees · 3 to 4Mar 15, 2019 to Mar 16, 2020
- HNW clients · 274 to 113Mar 15, 2019 to Mar 16, 2020
- Individual clients · 127 to 271Mar 15, 2019 to Mar 16, 2020
- Pension plan clients · 18 to 15Mar 15, 2019 to Mar 16, 2020
- Financial planning clients · 11-25 to 26-50Mar 15, 2019 to Mar 16, 2020
- State-registered IARs · 3 to 4Mar 15, 2019 to Mar 16, 2020
- Discretionary RAUM · $406M to $423MMar 15, 2019 to Mar 16, 2020
- HNW RAUM · $271M to $309MMar 15, 2019 to Mar 16, 2020
- Individual RAUM · $89.5M to $94.2MMar 15, 2019 to Mar 16, 2020
- Non-discretionary RAUM · $6.0M to $14.3MMar 15, 2019 to Mar 16, 2020
- Pension RAUM · $50.8M to $34.3MMar 15, 2019 to Mar 16, 2020
- RAUM · $412M to $438MMar 15, 2019 to Mar 16, 2020
- Accounts · 1,070 to 1,098Dec 18, 2018 to Mar 15, 2019
- HNW clients · 87 to 274Dec 18, 2018 to Mar 15, 2019
- Individual clients · 271 to 127Dec 18, 2018 to Mar 15, 2019
- Discretionary RAUM · $400M to $406MDec 18, 2018 to Mar 15, 2019
- HNW RAUM · $230M to $271MDec 18, 2018 to Mar 15, 2019
- Individual RAUM · $134M to $89.5MDec 18, 2018 to Mar 15, 2019
- Non-discretionary RAUM · $6.7M to $6.0MDec 18, 2018 to Mar 15, 2019
- Pension RAUM · $43.2M to $50.8MDec 18, 2018 to Mar 15, 2019
- RAUM · $407M to $412MDec 18, 2018 to Mar 15, 2019
- Accounts · 1,089 to 1,070Mar 20, 2017 to Mar 23, 2018
- Charity clients · unset to 0.0Mar 20, 2017 to Mar 23, 2018
- Corporate clients · unset to 0.0Mar 20, 2017 to Mar 23, 2018
- HNW clients · unset to 87.0Mar 20, 2017 to Mar 23, 2018
- Individual clients · unset to 271.0Mar 20, 2017 to Mar 23, 2018
Signals
1 dated events
- D•••• Scott Ehrig (Co-Chief Investment Officer) no longer on Schedule A of F•• A••••••• I•• (listed 2020-06-02, absent 2021-03-17)Mar 17, 2021 · Control person left · inference
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