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

G•••• I••••••••• M••••••••• I•••

Former SEC-registered adviserCRD 108862SEC 801-56093IAPD
Latest filing Sep 30, 2019
First filing on the tape Mar 27, 2012 · 21 filings
RAUM
$5.6M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$12.1M as of Jun 1, 2019
Mar 27, 2012$392M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 1, 2019
Mar 27, 20120 then
Employees (5.A)2 as of Jun 1, 2019
Apr 1, 20131 then
Private funds: 1
RAUM -78% over the last fiscal year-59% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 30, 2019; every figure names its basis
RAUM per advisor
$5.6MderivedRAUM 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
$5.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-54%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 fees, otherreportedItem 5.E
Advisory activities
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$5.6M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•••• S••••• V•••• T••••no longer reportedOther Private Fund$134M10Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• B••••• T••••••• · President And Chief Compliance Officercontrol
        since 10/1999 · 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
      • Discretionary RAUM · $12.1M to $5.6M
        Sep 27, 2019 to Sep 30, 2019
      • RAUM · $12.1M to $5.6M
        Sep 27, 2019 to Sep 30, 2019
      • Advisory activities · 2 to 3
        Apr 24, 2019 to Jun 1, 2019
      • Discretionary RAUM · $26.0M to $12.1M
        Apr 24, 2019 to Jun 1, 2019
      • RAUM · $26.0M to $12.1M
        Apr 24, 2019 to Jun 1, 2019
      • Discretionary RAUM · $19.7M to $26.0M
        Jul 28, 2018 to Oct 29, 2018
      • RAUM · $19.7M to $26.0M
        Jul 28, 2018 to Oct 29, 2018
      • Discretionary RAUM · $26.0M to $19.7M
        Mar 27, 2018 to Jul 28, 2018
      • RAUM · $26.0M to $19.7M
        Mar 27, 2018 to Jul 28, 2018
      • Discretionary RAUM · $54.0M to $26.0M
        Dec 21, 2017 to Mar 23, 2018
      • RAUM · $54.0M to $26.0M
        Dec 21, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Apr 23, 2017 to Dec 21, 2017
      • Advisory activities · 1 to 2
        Mar 11, 2016 to Apr 23, 2017
      • Employees · 1 to 2
        Mar 11, 2016 to Apr 23, 2017
      • Discretionary RAUM · $82.4M to $54.0M
        Mar 11, 2016 to Apr 23, 2017
      • RAUM · $82.4M to $54.0M
        Mar 11, 2016 to Apr 23, 2017
      • Discretionary RAUM · $131M to $82.4M
        Jan 7, 2016 to Mar 11, 2016
      • RAUM · $131M to $82.4M
        Jan 7, 2016 to Mar 11, 2016
      • Advisory activities · 2 to 1
        Apr 15, 2014 to Jun 16, 2015
      • Discretionary RAUM · $147M to $131M
        Apr 15, 2014 to Jun 16, 2015
      • RAUM · $147M to $131M
        Apr 15, 2014 to Jun 16, 2015
      • Advisory activities · 1 to 2
        Apr 1, 2013 to Apr 15, 2014
      • Financial planning clients · 0 to unset
        Apr 1, 2013 to Apr 15, 2014
      • State-registered IARs · 0 to 1
        Apr 1, 2013 to Apr 15, 2014
      • Discretionary RAUM · $130M to $147M
        Apr 1, 2013 to Apr 15, 2014
      • RAUM · $130M to $147M
        Apr 1, 2013 to Apr 15, 2014
      • Accounts · 11 to 1
        Mar 27, 2012 to Apr 1, 2013
      • Advisory employees · unset to 1.0
        Mar 27, 2012 to Apr 1, 2013
      • Employees · unset to 1.0
        Mar 27, 2012 to Apr 1, 2013
      • HQ city · CLEVELAND to unset
        Mar 27, 2012 to Apr 1, 2013
      • HQ state · OH to unset
        Mar 27, 2012 to Apr 1, 2013
      • Private funds · 1 to unset
        Mar 27, 2012 to Apr 1, 2013
      • Discretionary RAUM · $392M to $130M
        Mar 27, 2012 to Apr 1, 2013
      • RAUM · $392M to $130M
        Mar 27, 2012 to Apr 1, 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