DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

I••••••••• C••••••••• L••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $235M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$235M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+6.7%
Form ADV, consecutive annual filings
Private clients
12% of RAUM, $27.6M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 14 Form ADV filings for this adviser, the latest 5.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 108465 · SEC 801-51629 · 14 filingsShow
CRD 108465SEC 801-51629First filing on the tape Feb 29, 2012, latest Apr 14, 2021IAPD
RAUM
$235M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
12%
$27.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$235M as of Mar 23, 2021
Feb 29, 2012$94.4M then
HNW client RAUM$27.2M as of Mar 23, 2021
Mar 17, 2018$25.7M then
State-registered IARs (5.B.3)1 as of Mar 23, 2021
Feb 29, 20120 then
Employees (5.A)1 as of Mar 23, 2021
Mar 21, 20131 then
Private funds: no history
RAUM +6.7% over the last fiscal year+6.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 14, 2021; every figure names its basis
RAUM per advisor
$235MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
19derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$5.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
84%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$199M88%
  • High-net-worth individuals$27.2M12%
  • Individuals$430,8150.2%
Individual clients
4reported
HNW clients
15reported
Pension plan clients
6reported
Charitable clients
n/areported
Accounts
42reported
Financial planning clients
11-25reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G•••• W••••••• D••••• · Chief Compliance Officer & Managing Directorcontrol
        since 01/1992 · 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
      • Business name · I••••••••• C••••••••• to I••••••••• C••••••••• L••
        Mar 23, 2021 to Apr 14, 2021
      • Legal name · I••••••••• C••••••••• to I••••••••• C••••••••• L••
        Mar 23, 2021 to Apr 14, 2021
      • Succession · true to false
        Mar 23, 2021 to Apr 14, 2021
      • Organization form · Partnership to Limited Liability Company
        Oct 15, 2020 to Mar 23, 2021
      • HNW RAUM · $26.6M to $27.2M
        Oct 15, 2020 to Mar 23, 2021
      • Individual RAUM · $404,919 to $430,815
        Oct 15, 2020 to Mar 23, 2021
      • Non-discretionary RAUM · $221M to $235M
        Oct 15, 2020 to Mar 23, 2021
      • Pension RAUM · $185M to $199M
        Oct 15, 2020 to Mar 23, 2021
      • RAUM · $221M to $235M
        Oct 15, 2020 to Mar 23, 2021
      • Succession · false to true
        Oct 15, 2020 to Mar 23, 2021
      • HNW clients · 13 to 15
        Feb 26, 2019 to Feb 21, 2020
      • Individual clients · unset to 4.0
        Feb 26, 2019 to Feb 21, 2020
      • HNW RAUM · $24.9M to $26.6M
        Feb 26, 2019 to Feb 21, 2020
      • Individual RAUM · $359,438 to $404,919
        Feb 26, 2019 to Feb 21, 2020
      • Non-discretionary RAUM · $183M to $221M
        Feb 26, 2019 to Feb 21, 2020
      • Pension RAUM · $151M to $185M
        Feb 26, 2019 to Feb 21, 2020
      • RAUM · $183M to $221M
        Feb 26, 2019 to Feb 21, 2020
      • Individual clients · 4.0 to unset
        Mar 17, 2018 to Feb 26, 2019
      • HNW RAUM · $25.7M to $24.9M
        Mar 17, 2018 to Feb 26, 2019
      • Individual RAUM · $361,694 to $359,438
        Mar 17, 2018 to Feb 26, 2019
      • Non-discretionary RAUM · $197M to $183M
        Mar 17, 2018 to Feb 26, 2019
      • Pension RAUM · $165M to $151M
        Mar 17, 2018 to Feb 26, 2019
      • RAUM · $197M to $183M
        Mar 17, 2018 to Feb 26, 2019
      • Accounts · 49 to 42
        Mar 14, 2017 to Mar 17, 2018
      • HNW clients · unset to 13.0
        Mar 14, 2017 to Mar 17, 2018
      • Individual clients · unset to 4.0
        Mar 14, 2017 to Mar 17, 2018
      • Pension plan clients · unset to 6.0
        Mar 14, 2017 to Mar 17, 2018
      • Other offices · unset to 0.0
        Mar 14, 2017 to Mar 17, 2018
      • HNW RAUM · unset to 25664001.0
        Mar 14, 2017 to Mar 17, 2018
      • Individual RAUM · unset to 361694.0
        Mar 14, 2017 to Mar 17, 2018
      • Non-discretionary RAUM · $176M to $197M
        Mar 14, 2017 to Mar 17, 2018
      • Pension RAUM · unset to 164862437.0
        Mar 14, 2017 to Mar 17, 2018
      • RAUM · $176M to $197M
        Mar 14, 2017 to Mar 17, 2018
      • Accounts · 50 to 49
        Mar 11, 2016 to Mar 14, 2017
      • Non-discretionary RAUM · $195M to $176M
        Mar 11, 2016 to Mar 14, 2017
      • RAUM · $195M to $176M
        Mar 11, 2016 to Mar 14, 2017
      • Accounts · 49 to 50
        Mar 21, 2015 to Mar 11, 2016
      • Non-discretionary RAUM · $207M to $195M
        Mar 21, 2015 to Mar 11, 2016
      • RAUM · $207M to $195M
        Mar 21, 2015 to Mar 11, 2016
      • Accounts · 61 to 49
        Mar 24, 2014 to Mar 21, 2015
      Signals
      2 dated events
      • ••• Locked
        Mar 23, 2021 · Succession (Item 4) · fact
      • ••• Locked
        Mar 23, 2021 · Control person left · inference
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026