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
O••• I••••••••• M••••••••• I•••
Latest filing Mar 22, 2024
First filing on the tape Mar 7, 2012 · 19 filings
RAUM
$11B
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
25
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$11B as of Mar 22, 2024
Mar 7, 2012$7.3B then
HNW client RAUM$0 as of Mar 22, 2024
Mar 21, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 22, 2024
Mar 4, 20132 then
Employees (5.A)25 as of Mar 22, 2024
Mar 4, 201325 then
Private funds: no history
RAUM +5.3% over the last fiscal year-3.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 22, 2024; every figure names its basis
- RAUM per advisor
- $11BderivedRAUM 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
- $237MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 97%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 25.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.3%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 assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $1.2B, 19 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
- Insurance companies$11B92%
- State and municipal entities$516M4.5%
- Corporations and businesses$358M3.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 48reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 19 clientsreported
- 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
- J•••• P•••••• L••••• to C••••••••• F•••••••• N••••••Dec 13, 2006 · Other
- R•••• H•••• F••••• to S•••••••• S•••••••••Dec 1, 2006 · Other
- N••••••• H•••••• to R•••••• J•••• F•••••••• S•••••••• I•••Aug 23, 2006 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• J••••••• M••• · Director & Executive Chairmancontrolsince 01/2017 · owns less than 5%
- G••••••••• L••••••• F••••• · Director, President, & Treasurercontrolsince 01/2022 · owns less than 5%
- L•••••••• M••••••• F•••••• · Head Of Researchcontrolsince 01/2022 · owns less than 5%
- M••••••••• L••••• A•• · Secretary/Vice Presidentcontrolsince 09/2017 · owns less than 5%
- P•••• W••••••• J••••• · Director And Vice Presidentcontrolsince 12/2023 · owns less than 5%
- S•••••••• J•••••• J••••• · Chief Compliance Officersince 07/2018 · owns less than 5%
Entity owners
- T•• H•••••• I•••••••• G••••• I••• · Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- A•• S•••••••• I•••••••• C••••••real estatey
- A••• I•••real estatey
- A•••••••• F•••••••• A••••••• I•••••••• C••••••real estatey
- A•••••••• F•••••••• B•••••• I•••••••• C••••••real estatey
- A•••••••• P••• I•••••••• A•••••• I•••real estatey
- C•••••• C••••••• • I•••••••• C••••••• I•••real estatey
- C••••••• I•••••••• C•••••• O• A••••••real estatey
- C••••••• I•••••••• C•••••• O• I•••••••real estatey
- C••••••• I•••••••• C•••••• O• O•••real estatey
- C••••••• I•••••••• C•••••• O• T•• M••••••real estatey
- E•••••••• I•••••••• A•••••• I•••real estaten
- H•••••• S•••••••• I•••••••• B••••••• I•••real estaten
- M••••••••• B•• I•••••••• C••••••real estatey
- N••• C••••••• C••••••real estatey
- T•• H•••••• A••••••• I•••••••• C••••••real estatey
- T•• H•••••• A••••••• I•••••••• C•••••• L•••real estatey
- T•• H•••••• C••••••• C••••••real estatey
- T•• H•••••• I•••••••• C••••••real estatey
- T•• H•••••• N••••••• I•••••••• C••••••real estatey
- V••••• F••• I•••••••• C••••••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 49 to 48Mar 30, 2023 to Mar 22, 2024
- Assets in custody · $1.1B to $1.2BMar 30, 2023 to Mar 22, 2024
- Employees · 24 to 25Mar 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $11B to $11BMar 30, 2023 to Mar 22, 2024
- RAUM · $11B to $11BMar 30, 2023 to Mar 22, 2024
- Accounts · 84 to 49Mar 28, 2022 to Mar 30, 2023
- Assets in custody · $1.2B to $1.1BMar 28, 2022 to Mar 30, 2023
- Employees · 22 to 24Mar 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $12B to $11BMar 28, 2022 to Mar 30, 2023
- RAUM · $12B to $11BMar 28, 2022 to Mar 30, 2023
- Accounts · 86 to 84Mar 29, 2021 to Mar 28, 2022
- Advisory employees · 16 to 15Mar 29, 2021 to Mar 28, 2022
- Assets in custody · $1.4B to $1.2BMar 29, 2021 to Mar 28, 2022
- Employees · 24 to 22Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $13B to $12BMar 29, 2021 to Mar 28, 2022
- RAUM · $13B to $12BMar 29, 2021 to Mar 28, 2022
- Accounts · 87 to 86Mar 27, 2020 to Mar 29, 2021
- Assets in custody · $1.2B to $1.4BMar 27, 2020 to Mar 29, 2021
- Discretionary RAUM · $12B to $13BMar 27, 2020 to Mar 29, 2021
- RAUM · $12B to $13BMar 27, 2020 to Mar 29, 2021
- Advisory employees · 13 to 16Mar 30, 2019 to Mar 27, 2020
- Corporate clients · 5 to 6Mar 30, 2019 to Mar 27, 2020
- Assets in custody · $1.0B to $1.2BMar 30, 2019 to Mar 27, 2020
- Employees · 22 to 24Mar 30, 2019 to Mar 27, 2020
- Discretionary RAUM · $11B to $12BMar 30, 2019 to Mar 27, 2020
- RAUM · $11B to $12BMar 30, 2019 to Mar 27, 2020
- Accounts · 89 to 87Oct 4, 2018 to Mar 30, 2019
- Advisory employees · 15 to 13Oct 4, 2018 to Mar 30, 2019
- Corporate clients · 6 to 5Oct 4, 2018 to Mar 30, 2019
- Assets in custody · $1.0B to $1.0BOct 4, 2018 to Mar 30, 2019
- Employees · 24 to 22Oct 4, 2018 to Mar 30, 2019
- Discretionary RAUM · $10B to $11BOct 4, 2018 to Mar 30, 2019
- RAUM · $10B to $11BOct 4, 2018 to Mar 30, 2019
- Accounts · 90 to 89Mar 21, 2018 to Apr 2, 2018
- Discretionary RAUM · $10B to $10BMar 21, 2018 to Apr 2, 2018
- RAUM · $10B to $10BMar 21, 2018 to Apr 2, 2018
- Accounts · 86 to 90Oct 25, 2017 to Mar 21, 2018
- Advisory employees · 16 to 15Oct 25, 2017 to Mar 21, 2018
- Corporate clients · 4 to 6Oct 25, 2017 to Mar 21, 2018
- Assets in custody · $1.1B to $1.0BOct 25, 2017 to Mar 21, 2018
Signals
6 dated events
- Francis Michael Lannigan (Head Of Research) appeared on Schedule A of O••• I••••••••• M••••••••• I•••Mar 30, 2023 · Control person joined · fact
- Charles Scott Hyney (Vice President/Director) no longer on Schedule A of O••• I••••••••• M••••••••• I••• (listed 2022-03-28, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Kirkpatrick Ann Tripp (Director & President & Treasurer) no longer on Schedule A of O••• I••••••••• M••••••••• I••• (listed 2021-03-29, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- Joseph William Piel (Vice President) appeared on Schedule A of O••• I••••••••• M••••••••• I•••Mar 30, 2019 · Control person joined · fact
- France Lindsay Greenfield (Vice President) appeared on Schedule A of O••• I••••••••• M••••••••• I•••Mar 30, 2019 · Control person joined · fact
- John Richard Litchfield (Vice President) no longer on Schedule A of O••• I••••••••• M••••••••• I••• (listed 2018-10-04, absent 2019-03-30)Mar 30, 2019 · 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