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••••• F••••• W••••• C••••••••• I••
Latest filing Jul 25, 2012
First filing on the tape Feb 27, 2012 · 2 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
2 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 25, 2012
Feb 27, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 25, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planningreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person acts as qualified custodian (9.D.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
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
- S•••••••• R••••• S•••• to S••••• F••••••••• L••Jul 25, 2012 · Other
- M•••••• M•••••••• to S••••• F••••••••• L••Jul 25, 2012 · Other
- J••••• W•••••• S•••• to S••••• F••••••••• L••Jul 25, 2012 · Other
- D•••• R•••••• C••••••••• to S••••• F••••••••• L••Jul 25, 2012 · Other
- H••••• E•••••• K••••• to L•• F•••••••• L••Sep 15, 2010 · Other
Joined, latest
- H••••• E•••••• K••••• from S••••• F•••••••• R•••••••• I••Mar 8, 2007 · Other
- M•••••• M•••••••• from S••••• F•••••••• R•••••••• I••Oct 28, 2004 · Other
- S•••••••• R••••• S•••• from S••••• F•••••••• R•••••••• I••Jun 24, 2002 · Other
- J••••• W•••••• S•••• from S••••• F•••••••• R•••••••• I••Jun 24, 2002 · Other
- D•••• R•••••• C••••••••• from S••••• F•••••••• R•••••••• I••Jun 24, 2002 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from S••••• F•••••••• R•••••••• I••Sep 20, 2018 · Parsippany, Nj
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• D••••• R•••••• · Vpcontrolsince 07/2004 · owns less than 5%
- M•••••• R••••••• D••••• · President & Chief Compliance Officercontrolsince 11/1997 · owns less than 5%
- R••••• J•••••• F•••••• · Sec./Treas.controlsince 11/1997 · owns less than 5%
- S••••• S••••••••• R••••• · Vpcontrolsince 07/2004 · owns less than 5%
- S••••• J•••••• W•••••• · Vpcontrolsince 07/2004 · owns less than 5%
Entity owners
- S••••• F•••••••• R••••••••• I••• · Corporationdirect · owns 75% or more
Related persons
Schedule D 7.A
- S••••• E••••••• I••broker-dealerinvestment advisercustodiann
- S••••• F•••••••• R•••••••• I••investment advisery
- S••••• I••••••••• M••••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
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