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
P•••••• I••••••••• M••••••••• I••
Latest filing Aug 21, 2012
First filing on the tape Mar 20, 2012 · 3 filings
RAUM
$1.2B
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$1.2B as of Aug 21, 2012
Mar 20, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 21, 2012; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $969M, 175 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
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
- 627reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $969M for 175 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
- S••••• L•• F••••••••• to U••••• C•••••• F•••••••• A•••••••Apr 1, 2013 · Other
- C•••••••• E•••••••• B•••• H•••••• to U••••• C•••••• F•••••••• A•••••••Apr 1, 2013 · Other
- D••••• L••••••• R••••• to U••••• C•••••• F•••••••• A•••••••Apr 1, 2013 · Other
- J•••• P••• B••••• to U••••• C•••••• F•••••••• A•••••••Apr 1, 2013 · Other
- S•••• J••• B•••• to P•••••• I•••Apr 1, 2013 · Other
- G••• M••••••• to U••••• C•••••• F•••••••• A•••••••Apr 1, 2013 · Other
- J•••• M•••• W•••••• to B•••••• P••••• W••••• M•••••••Aug 10, 2012 · Other
- J•••• J••••• A••••••• to S•••• P•••••• C•••••• M••••••••• L••Jan 21, 2011 · Other
Joined, latest
- D••••• L••••••• R••••• from W•• I••••••••• I•••Mar 7, 2011 · Other
- G••• M••••••• from P•••••• I•••Apr 11, 1996 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• S••••• J••• · Chief Executive Officer, President And Directorcontrolsince 08/1991 · owns 50% to 75%
- H••••••• C••••••••• E•••••••• · Director, Chief Financial Officer And Treasurercontrolsince 12/2010 · owns 25% to 50%
- M••••••••• M•••••••• K•• · Sr. Vice President, Chief Compliance Officer & Secretarysince 12/2010 · owns 5% to 10%
- M•••••••• G•••• R•••••• · Sr. Vice President & Chief Investment Officersince 12/2010 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
One filing, no change to show.
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