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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
F•••••••• A•••• M••••••••• L••
Latest filing Jan 31, 2020
First filing on the tape Mar 9, 2012 · 11 filings
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$193M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$197M as of Jan 31, 2020
Mar 9, 2012$130M then
HNW client RAUM$166M as of Jan 31, 2020
Mar 14, 2018$154M then
State-registered IARs (5.B.3)2 as of Jan 31, 2020
Mar 9, 20120 then
Employees (5.A)4 as of Jan 31, 2020
Feb 27, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+3.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 31, 2020; every figure names its basis
- RAUM per advisor
- $98.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $704,804derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- High-net-worth individuals$166M84%
- Individuals$27.4M14%
- Pension and profit-sharing plans$3.6M1.8%
- Charitable organizations$785,4720.4%
- Individual clients
- 69reported
- HNW clients
- 59reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 280reported
- 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
- N••••• F•••••• E••••••• to M•• A•••••••••Mar 25, 2011 · Other
- J••• L••••• S•••• to C•••••• I•••••• P•••••••• L••Jan 5, 2009 · Other
- A•••• L• J••••• S•• to T•••••• W••••• M••••••••• L••Aug 29, 2006 · Other
- L•••• J••• H•••• to P•••••• F•••••••• M••••••••• I••Aug 29, 2005 · Other
Joined, latest
- J••• L••••• S•••• from L• R•• P••• • A••••••••• L••Mar 1, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• F•••••••• R••• · Treasurer, Trusteecontrolsince 09/1998 · owns less than 5%
- W••••• R•••••• K•••• · President, Trusteecontrolsince 08/1995 · owns less than 5%
- B•••••• M•••••••• M•••• · Chief Compliance Officersince 04/2017 · owns less than 5%
Entity owners
- W•••• F••••• T•••• D•••• 1••••••• · Trustdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 278 to 280Mar 14, 2019 to Jan 31, 2020
- HNW clients · 54 to 59Mar 14, 2019 to Jan 31, 2020
- Individual clients · 70 to 69Mar 14, 2019 to Jan 31, 2020
- Pension plan clients · 4 to 3Mar 14, 2019 to Jan 31, 2020
- Discretionary RAUM · $172M to $197MMar 14, 2019 to Jan 31, 2020
- HNW RAUM · $137M to $166MMar 14, 2019 to Jan 31, 2020
- Individual RAUM · $30.1M to $27.4MMar 14, 2019 to Jan 31, 2020
- Pension RAUM · $4.0M to $3.6MMar 14, 2019 to Jan 31, 2020
- RAUM · $172M to $197MMar 14, 2019 to Jan 31, 2020
- Accounts · 270 to 278Mar 14, 2018 to Mar 14, 2019
- HNW clients · 55 to 54Mar 14, 2018 to Mar 14, 2019
- Individual clients · 65 to 70Mar 14, 2018 to Mar 14, 2019
- Pension plan clients · 5 to 4Mar 14, 2018 to Mar 14, 2019
- Discretionary RAUM · $190M to $172MMar 14, 2018 to Mar 14, 2019
- HNW RAUM · $154M to $137MMar 14, 2018 to Mar 14, 2019
- Individual RAUM · $28.0M to $30.1MMar 14, 2018 to Mar 14, 2019
- Pension RAUM · $6.6M to $4.0MMar 14, 2018 to Mar 14, 2019
- RAUM · $190M to $172MMar 14, 2018 to Mar 14, 2019
- Accounts · 266 to 270Jul 3, 2017 to Mar 14, 2018
- HNW clients · unset to 55.0Jul 3, 2017 to Mar 14, 2018
- Individual clients · unset to 65.0Jul 3, 2017 to Mar 14, 2018
- Pension plan clients · unset to 5.0Jul 3, 2017 to Mar 14, 2018
- Other offices · unset to 0.0Jul 3, 2017 to Mar 14, 2018
- Discretionary RAUM · $179M to $190MJul 3, 2017 to Mar 14, 2018
- HNW RAUM · unset to 154362568.0Jul 3, 2017 to Mar 14, 2018
- Individual RAUM · unset to 27993987.0Jul 3, 2017 to Mar 14, 2018
- Pension RAUM · unset to 6630608.0Jul 3, 2017 to Mar 14, 2018
- RAUM · $179M to $190MJul 3, 2017 to Mar 14, 2018
- Accounts · 238 to 266Mar 7, 2016 to Mar 3, 2017
- Discretionary RAUM · $171M to $179MMar 7, 2016 to Mar 3, 2017
- RAUM · $171M to $179MMar 7, 2016 to Mar 3, 2017
- Accounts · 239 to 238Mar 13, 2015 to Mar 7, 2016
- Discretionary RAUM · $187M to $171MMar 13, 2015 to Mar 7, 2016
- Non-discretionary RAUM · $1.7M to $0Mar 13, 2015 to Mar 7, 2016
- RAUM · $189M to $171MMar 13, 2015 to Mar 7, 2016
- Accounts · 215 to 239Mar 10, 2014 to Mar 13, 2015
- State-registered IARs · 1 to 2Mar 10, 2014 to Mar 13, 2015
- Discretionary RAUM · $167M to $187MMar 10, 2014 to Mar 13, 2015
- Non-discretionary RAUM · $1.7M to $1.7MMar 10, 2014 to Mar 13, 2015
- RAUM · $169M to $189MMar 10, 2014 to Mar 13, 2015
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