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

Aegis Financial Advisors Inc

Former SEC-registered adviserAltamonte Springs, FloridaCRD 107629SEC 801-38791IAPD
Latest filing Mar 26, 2015
First filing on the tape Mar 28, 2012 · 4 filings
RAUM
$113M
reported, Item 5.F
Discretionary
1.1%
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$113M as of Mar 26, 2015
Mar 28, 2012$92.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 26, 2015
Mar 28, 20120 then
Employees (5.A)3 as of Mar 26, 2015
Mar 28, 20134 then
Private funds: no history
RAUM +6.6% over the last fiscal year+6.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 2015; every figure names its basis
RAUM per advisor
$56.5MderivedRAUM 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
$420,116derivedRAUM over accounts (5.F.2.f)
Discretionary
1.1%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.6%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, selection of other advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.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
269reported
Financial planning clients
11-25reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Roger Jerold Meier · Chief Compliance Officercontrol
      since 12/1990 · owns 75% or more
    • Thien Thuong Pham · Vice President For Operationscontrol
      since 01/2012 · owns 5% to 10%
    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 · 526 to 269
      Mar 27, 2014 to Mar 26, 2015
    • BD registered reps · 2 to 0
      Mar 27, 2014 to Mar 26, 2015
    • Commission compensation · true to false
      Mar 27, 2014 to Mar 26, 2015
    • Employees · 4 to 3
      Mar 27, 2014 to Mar 26, 2015
    • Discretionary RAUM · $953,000 to $1.2M
      Mar 27, 2014 to Mar 26, 2015
    • Non-discretionary RAUM · $105M to $112M
      Mar 27, 2014 to Mar 26, 2015
    • RAUM · $106M to $113M
      Mar 27, 2014 to Mar 26, 2015
    • Discretionary RAUM · $865,001 to $953,000
      Mar 28, 2013 to Mar 27, 2014
    • Non-discretionary RAUM · $95.9M to $105M
      Mar 28, 2013 to Mar 27, 2014
    • RAUM · $96.7M to $106M
      Mar 28, 2013 to Mar 27, 2014
    • Accounts · 512 to 526
      Mar 28, 2012 to Mar 28, 2013
    • Advisory employees · unset to 2.0
      Mar 28, 2012 to Mar 28, 2013
    • BD registered reps · unset to 2.0
      Mar 28, 2012 to Mar 28, 2013
    • Employees · unset to 4.0
      Mar 28, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 2
      Mar 28, 2012 to Mar 28, 2013
    • Discretionary RAUM · $561,139 to $865,001
      Mar 28, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $92.2M to $95.9M
      Mar 28, 2012 to Mar 28, 2013
    • RAUM · $92.8M to $96.7M
      Mar 28, 2012 to Mar 28, 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