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•••••••• S••••••• I••
Latest filing Mar 27, 2017
First filing on the tape Apr 2, 2012 · 6 filings
RAUM
$197M
reported, Item 5.F
Discretionary
30%
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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$197M as of Mar 27, 2017
Apr 2, 2012$96.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2017
Mar 21, 20131 then
Employees (5.A)3 as of Mar 27, 2017
Mar 21, 20133 then
Private funds: no history
RAUM +36% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2017; every figure names its basis
- RAUM per advisor
- $197MderivedRAUM 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
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 30%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
- 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
- 108reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• D•••••• J••••• · Presidentcontrolsince 11/1997 · owns 75% or more
Related persons
Schedule D 7.A
- D••••• J• P•••••• J••LP sponsorreal estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 117 to 108Mar 22, 2016 to Mar 27, 2017
- Discretionary RAUM · $67.5M to $59.4MMar 22, 2016 to Mar 27, 2017
- Non-discretionary RAUM · $76.9M to $137MMar 22, 2016 to Mar 27, 2017
- RAUM · $144M to $197MMar 22, 2016 to Mar 27, 2017
- Accounts · 111 to 117Mar 27, 2015 to Mar 22, 2016
- Discretionary RAUM · $65.6M to $67.5MMar 27, 2015 to Mar 22, 2016
- Non-discretionary RAUM · $82.6M to $76.9MMar 27, 2015 to Mar 22, 2016
- RAUM · $148M to $144MMar 27, 2015 to Mar 22, 2016
- Accounts · 107 to 111Mar 26, 2014 to Mar 27, 2015
- Discretionary RAUM · $58.3M to $65.6MMar 26, 2014 to Mar 27, 2015
- Non-discretionary RAUM · $83.2M to $82.6MMar 26, 2014 to Mar 27, 2015
- RAUM · $142M to $148MMar 26, 2014 to Mar 27, 2015
- Discretionary RAUM · $51.4M to $58.3MMar 21, 2013 to Mar 26, 2014
- Non-discretionary RAUM · $70.1M to $83.2MMar 21, 2013 to Mar 26, 2014
- RAUM · $121M to $142MMar 21, 2013 to Mar 26, 2014
- Accounts · 104 to 107Apr 2, 2012 to Mar 21, 2013
- Advisory employees · unset to 1.0Apr 2, 2012 to Mar 21, 2013
- Employees · unset to 3.0Apr 2, 2012 to Mar 21, 2013
- State-registered IARs · unset to 1.0Apr 2, 2012 to Mar 21, 2013
- Discretionary RAUM · $44.9M to $51.4MApr 2, 2012 to Mar 21, 2013
- Non-discretionary RAUM · $52.0M to $70.1MApr 2, 2012 to Mar 21, 2013
- RAUM · $96.9M to $121MApr 2, 2012 to Mar 21, 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