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

S••• C•••••• M••••••••• L••

Former SEC-registered adviserSarasota, FloridaCRD 107608SEC 801-49948IAPD
Latest filing Feb 16, 2016
First filing on the tape Mar 16, 2012 · 12 filings
RAUM
$96.4M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$96.4M as of Feb 16, 2016
Mar 16, 2012$157M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 16, 2016
Feb 15, 20133 then
Employees (5.A)3 as of Feb 16, 2016
Feb 15, 20133 then
Private funds1 as of Jan 23, 2014
Mar 16, 20121 then
RAUM -37% over the last fiscal year-14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 16, 2016; every figure names its basis
RAUM per advisor
$32.1MderivedRAUM 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
$32.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-37%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••• S•••••••• I•••••• L•••no longer reportedHedge Fund$8.6M16Mar 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••••• P••••• H••••• L•••••• · Chief Executive Officercontrol
        since 07/1988 · owns 25% to 50%
      • H•••••• K•••• · Chief Investment Officercontrol
        since 04/1993 · owns 25% to 50%
      • I•••••••• M••••••• C•••••• · Chief Compliance Officercontrol
        since 10/2004 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Nov 9, 2015 to Feb 16, 2016
      • Discretionary RAUM · $153M to $96.4M
        Nov 9, 2015 to Feb 16, 2016
      • RAUM · $153M to $96.4M
        Nov 9, 2015 to Feb 16, 2016
      • Advisory activities · 1 to 3
        Feb 13, 2015 to Oct 19, 2015
      • Financial planning clients · unset to 0
        Feb 13, 2015 to Oct 19, 2015
      • Advisory activities · 2 to 1
        Oct 22, 2014 to Feb 13, 2015
      • Assets in custody · 8614671.0 to unset
        Oct 22, 2014 to Feb 13, 2015
      • Custody of client assets · true to false
        Oct 22, 2014 to Feb 13, 2015
      • Private funds · 1 to unset
        Oct 22, 2014 to Feb 13, 2015
      • Discretionary RAUM · $167M to $153M
        Oct 22, 2014 to Feb 13, 2015
      • RAUM · $167M to $153M
        Oct 22, 2014 to Feb 13, 2015
      • Assets in custody · $11.5M to $8.6M
        Jan 10, 2014 to Jan 23, 2014
      • Discretionary RAUM · $154M to $167M
        Jan 10, 2014 to Jan 23, 2014
      • RAUM · $154M to $167M
        Jan 10, 2014 to Jan 23, 2014
      • Accounts · 6 to 4
        Oct 22, 2012 to Feb 15, 2013
      • Advisory employees · unset to 3.0
        Oct 22, 2012 to Feb 15, 2013
      • Assets in custody · $12.4M to $11.5M
        Oct 22, 2012 to Feb 15, 2013
      • Employees · unset to 3.0
        Oct 22, 2012 to Feb 15, 2013
      • Financial planning clients · 0 to unset
        Oct 22, 2012 to Feb 15, 2013
      • State-registered IARs · unset to 3.0
        Oct 22, 2012 to Feb 15, 2013
      • Discretionary RAUM · $157M to $154M
        Oct 22, 2012 to Feb 15, 2013
      • RAUM · $157M to $154M
        Oct 22, 2012 to Feb 15, 2013
      • Advisory activities · 3 to 2
        Mar 16, 2012 to Oct 22, 2012
      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