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

R••

Former SEC-registered adviserAddison, TexasCRD 108203SEC 801-60003IAPD
Legal name P•• I••••••••• L•••
Latest filing Dec 13, 2019
First filing on the tape Feb 1, 2012 · 25 filings
RAUM
$2.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
94
83 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$2.6B as of Mar 6, 2019
Mar 23, 2012$1.5B then
HNW client RAUM$1.7B as of Mar 6, 2019
Mar 5, 2018$1.8B then
State-registered IARs (5.B.3)83 as of Mar 6, 2019
Mar 26, 201319 then
Employees (5.A)94 as of Mar 6, 2019
Mar 26, 201333 then
Private funds: no history
RAUM -4.5% over the last fiscal year+11% a year over threeIARs 76 to 83offices 3 to 2
Practice profile
derived from the filing of Dec 13, 2019; every figure names its basis
RAUM per advisor
$30.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$402,365derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
27.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-4.5%derivedbetween the last two annual amendments
Advisor growth, one year
+9.2%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Financial planning clients
3,000reportedItem 5.H
Custody
$197M, 432 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • 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
  • High-net-worth individuals$1.7B65%
  • Individuals$890M35%
  • Corporations and businesses$9.3M0.4%
  • Charitable organizations$1.1M0.0%
Individual clients
2,182reported
HNW clients
1,011reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
6,353reported
Financial planning clients
3,000reported
Wrap fee programs
noreported
Custody of client assets
$197M for 432 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• J••••••• A••• · President, Chief Operations Officercontrol
      since 01/2017 · owns less than 5%
    • B••••••• J•••• C•••••• · Ceocontrol
      since 12/2013 · owns less than 5%
    • S••••••• R•••••• E•••• · Chairmancontrol
      since 01/2007 · owns less than 5%
    • B••••••• J•••• C•••••• · Managercontrol
      since 09/2012 · owns 25% to 50% of 2••• P•• E••••• C••••••• L••
    • B••••••• J•••• C•••••• · Managercontrol
      since 01/2011 · owns 25% to 50% of 2••• P•• E••••• C••••••• L••
    • B••••••• J•••• C•••••• · Managercontrol
      since 09/2012 · owns 25% to 50% of 2••• P•• E••••• C••••••• L••
    • B••••••• J•••• C•••••• · Trusteecontrol
      since 04/2008 · owns 75% or more of J•• T••••
    • B••••••••• B•••• M•••••• · Managercontrol
      since 01/2014 · owns 25% to 50% of 2••• P•• E••••• C••••••• L••
    • R•••••••• J•••• B••••• · Managercontrol
      since 03/2006 · owns 75% or more of J•• S••••• L••
    • K••••••• G•••• J•• · Chief Compliance Officer
      since 07/2016 · owns less than 5%
    • M•••••••• J•••••• W•••• · Class A LP
      since 10/2005 · owns 5% to 10%
    • M••••• K••••••• H••••• · Class A LP
      since 04/2008 · owns 5% to 10%
    • S••••••• J•••••• S••••• · Chief Financial Officer
      since 11/2017 · owns less than 5%
    Entity owners
    • H•• R•• L• · Class A LP
      direct · owns 10% to 25%
    • P•• I••••••••• M••••••••• L•• · General Partner
      direct · owns less than 5%
    • H•• R•• C•••••••• L• · Partner
      indirect · owns 25% to 50% of H•• R•• L•
    • H•• R•• L• · Manager
      indirect · owns 50% to 75% of P•• I••••••••• M••••••••• L••
    • H•• R•• L• · Member
      indirect · owns 25% to 50% of 2••• P•• E••••• C••••••• L••
    • H••• P•••••• E••••••• I• L• · Partner
      indirect · owns 75% or more of H•• R•• C•••••••• L•
    • J•• T•••• · Member
      indirect · owns 25% to 50% of 2••• P•• E••••• C••••••• L••
    • J•• T•••• · Member
      indirect · owns 25% to 50% of 2••• P•• E••••• C••••••• L••
    • J•• T•••• · Manager
      indirect · owns 75% or more of R• 2••• C••••••• L••
    • R• 2••• C••••••• L•• · Manager
      indirect · owns 50% to 75% of P•• I••••••••• M••••••••• L••
    • 2••• P•• E••••• C••••••• L•• · Class A LP
      direct · owns 5% to 10%
    • 2••• P•• E••••• C••••••• L•• · Class A LP
      direct · owns 10% to 25%
    • 2••• P•• E••••• C••••••• L•• · Class A LP
      direct · owns 5% to 10%
    • J•• T•••• · Class A LP
      direct · owns 5% to 10%
    • J•• S••••• L•• · Class A LP
      direct · owns 5% to 10%
    • R• 2••• C••••••• L•• · Class A LP
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • R•• R••• M••••••••• C••••••
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    • Kennesaw, GA5 employees
    • Seattle, WA1 employees
    What changed
    consecutive filings, newest first
    • Other offices · 3 to 2
      Mar 6, 2019 to Dec 13, 2019
    • Accounts · 6,035 to 6,353
      Mar 19, 2018 to Mar 6, 2019
    • Advisory employees · 76 to 83
      Mar 19, 2018 to Mar 6, 2019
    • Charity clients · 0.0 to unset
      Mar 19, 2018 to Mar 6, 2019
    • Corporate clients · 8 to 5
      Mar 19, 2018 to Mar 6, 2019
    • HNW clients · 1,086 to 1,011
      Mar 19, 2018 to Mar 6, 2019
    • Individual clients · 1,981 to 2,182
      Mar 19, 2018 to Mar 6, 2019
    • Assets in custody · $230M to $197M
      Mar 19, 2018 to Mar 6, 2019
    • Employees · 91 to 94
      Mar 19, 2018 to Mar 6, 2019
    • State-registered IARs · 76 to 83
      Mar 19, 2018 to Mar 6, 2019
    • Discretionary RAUM · $2.7B to $2.6B
      Mar 19, 2018 to Mar 6, 2019
    • HNW RAUM · $1.8B to $1.7B
      Mar 19, 2018 to Mar 6, 2019
    • Individual RAUM · $834M to $890M
      Mar 19, 2018 to Mar 6, 2019
    • RAUM · $2.7B to $2.6B
      Mar 19, 2018 to Mar 6, 2019
    • Related insurance company · true to false
      Mar 19, 2018 to Mar 6, 2019
    • Accounts · 5,792 to 6,035
      Nov 13, 2017 to Mar 5, 2018
    • Advisory employees · 55 to 76
      Nov 13, 2017 to Mar 5, 2018
    • Advisory activities · 4 to 3
      Nov 13, 2017 to Mar 5, 2018
    • Corporate clients · 0 to 8
      Nov 13, 2017 to Mar 5, 2018
    • HNW clients · 0 to 1,086
      Nov 13, 2017 to Mar 5, 2018
    • Individual clients · 0 to 1,981
      Nov 13, 2017 to Mar 5, 2018
    • Assets in custody · $2.4B to $230M
      Nov 13, 2017 to Mar 5, 2018
    • Employees · 71 to 91
      Nov 13, 2017 to Mar 5, 2018
    • State-registered IARs · 56 to 76
      Nov 13, 2017 to Mar 5, 2018
    • Discretionary RAUM · $2.3B to $2.7B
      Nov 13, 2017 to Mar 5, 2018
    • HNW RAUM · unset to 1830375104.0
      Nov 13, 2017 to Mar 5, 2018
    • Individual RAUM · unset to 834106344.0
      Nov 13, 2017 to Mar 5, 2018
    • Non-discretionary RAUM · $76.5M to $0
      Nov 13, 2017 to Mar 5, 2018
    • Pension RAUM · unset to 0.0
      Nov 13, 2017 to Mar 5, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Nov 13, 2017 to Mar 5, 2018
    • RAUM · $2.4B to $2.7B
      Nov 13, 2017 to Mar 5, 2018
    • Related insurance company · false to true
      Nov 13, 2017 to Mar 5, 2018
    • Charity clients · unset to 0.0
      May 10, 2017 to Oct 3, 2017
    • Corporate clients · unset to 0.0
      May 10, 2017 to Oct 3, 2017
    • HNW clients · unset to 0.0
      May 10, 2017 to Oct 3, 2017
    • Individual clients · unset to 0.0
      May 10, 2017 to Oct 3, 2017
    • Pension plan clients · unset to 0.0
      May 10, 2017 to Oct 3, 2017
    • Pooled vehicle clients · unset to 0.0
      May 10, 2017 to Oct 3, 2017
    • Other offices · unset to 3.0
      May 10, 2017 to Oct 3, 2017
    • Business name · R••••••••• A••••••• O• A•••••• to RAA
      May 9, 2017 to May 10, 2017
    Signals
    1 dated events
    • Raa reported 76 state-registered advisory representatives, up from 56 (2017-11-13 to 2018-03-05)
      Mar 5, 2018 · ria a•••••• headcount change · derived
    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