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
U•••• I••••••••• A•••••••• I••
Latest filing Feb 17, 2016
First filing on the tape Mar 14, 2012 · 5 filings
RAUM
$72.2M
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
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$72.2M as of Feb 17, 2016
Mar 14, 2012$109M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 17, 2016
Mar 14, 20120 then
Employees (5.A)5 as of Feb 17, 2016
Feb 19, 20135 then
Private funds: no history
RAUM -9.9% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 17, 2016; 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
- $36.1MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.9%derivedbetween 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 investment companiesreportedItem 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
- 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
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
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
- G••••• J••• C••••••••• · Chairman/Ceocontrolsince 02/2009 · owns less than 5%
- L••••••• T••••• L•••• · Chief Compliance Officercontrolsince 07/2003 · owns less than 5%
- P••••• M•••• E••••• · Presidentcontrolsince 02/2009 · owns less than 5%
- S•••••• R•••• M•••••• · Investment Officercontrolsince 03/2007 · owns less than 5%
- S•••••••• T•••••• R••••• · Vice Presidentcontrolsince 02/2009 · owns less than 5%
- D•••••• M••••••• S••••••• · Presidentcontrolsince 01/1996 · owns 25% to 50% of F•••••• And M•••••••• Investment
- M••••••••• A•••••• L••• · Chairman Of The Boardcontrolsince 01/1996 · owns 25% to 50% of F•••••• And M•••••••• Investment
Entity owners
- F•••••• • M•••••••• I••••••••• I••• · Shareholder Of U•••• I••••••••• A•••••••• I••.direct · owns 75% or more
Related persons
Schedule D 7.A
- N••••• C•••••• L••broker-dealern
- U•••• B••• • T•••• C••••••n
- W•••••••• R••• C•••••• M••••••••• L••investment advisernRAUM $3.3B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $80.1M to $72.2MFeb 9, 2015 to Feb 17, 2016
- RAUM · $80.1M to $72.2MFeb 9, 2015 to Feb 17, 2016
- Discretionary RAUM · $104M to $80.1MFeb 10, 2014 to Feb 9, 2015
- RAUM · $104M to $80.1MFeb 10, 2014 to Feb 9, 2015
- Discretionary RAUM · $109M to $104MFeb 19, 2013 to Feb 10, 2014
- RAUM · $109M to $104MFeb 19, 2013 to Feb 10, 2014
- Advisory employees · unset to 2.0Mar 14, 2012 to Feb 19, 2013
- BD registered reps · unset to 1.0Mar 14, 2012 to Feb 19, 2013
- Employees · unset to 5.0Mar 14, 2012 to Feb 19, 2013
- Discretionary RAUM · $109M to $109MMar 14, 2012 to Feb 19, 2013
- RAUM · $109M to $109MMar 14, 2012 to Feb 19, 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