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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SEC-registered adviser
F•••••• E• R•••••• I••••••••• M••••••••• C••
Legal name X••• I••
Latest filing Jun 4, 2026
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since Oct 5, 2018
RAUM
$137M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$123M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$137M as of Jun 4, 2026
Mar 29, 2012$55.7M then
HNW client RAUM$41.3M as of Jun 4, 2026
Mar 28, 2019$69.4M then
State-registered IARs (5.B.3)0 as of Jun 4, 2026
Mar 28, 20192 then
Employees (5.A)4 as of Jun 4, 2026
Mar 28, 20194 then
Private funds: no history
RAUM -13% over the last fiscal year-8.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $897,915derivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$81.2M59%
- High-net-worth individuals$41.3M30%
- Pension and profit-sharing plans$14.9M11%
- Individual clients
- 33reported
- HNW clients
- 46reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 135reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••• E•••• R•••••• | Jan 1, 2026 | 39 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- B•••• W•••••• C•••••• to C••••••••• W••••• M••••••••• L••May 21, 2019 · RIA to RIA
- M•••••• J•••• D••••••••• to L•••••• A•••• M•••••••••Dec 31, 2004 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• F••••••• E•••• · Chief Executive Officercontrolsince 08/1984 · owns 75% or more
- K•••••• C••••• L•••• · Chief Compliance Officersince 06/2021 · owns less than 5%
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 · 85 to 135Feb 27, 2025 to Jun 4, 2026
- Advisory employees · 3 to 1Feb 27, 2025 to Jun 4, 2026
- Corporate clients · 3.0 to unsetFeb 27, 2025 to Jun 4, 2026
- HNW clients · 41 to 46Feb 27, 2025 to Jun 4, 2026
- Individual clients · 36 to 33Feb 27, 2025 to Jun 4, 2026
- Employees · 5 to 4Feb 27, 2025 to Jun 4, 2026
- Discretionary RAUM · $150M to $137MFeb 27, 2025 to Jun 4, 2026
- HNW RAUM · $111M to $41.3MFeb 27, 2025 to Jun 4, 2026
- Individual RAUM · $18.7M to $81.2MFeb 27, 2025 to Jun 4, 2026
- Pension RAUM · $14.3M to $14.9MFeb 27, 2025 to Jun 4, 2026
- RAUM · $150M to $137MFeb 27, 2025 to Jun 4, 2026
- Accounts · 143 to 85Nov 6, 2024 to Feb 27, 2025
- Individual clients · 40 to 36Nov 6, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 0Nov 6, 2024 to Feb 27, 2025
- Discretionary RAUM · $158M to $150MNov 6, 2024 to Feb 27, 2025
- HNW RAUM · $118M to $111MNov 6, 2024 to Feb 27, 2025
- Individual RAUM · $18.3M to $18.7MNov 6, 2024 to Feb 27, 2025
- Pension RAUM · $16.4M to $14.3MNov 6, 2024 to Feb 27, 2025
- RAUM · $158M to $150MNov 6, 2024 to Feb 27, 2025
- Accounts · 168 to 143Mar 30, 2023 to Mar 25, 2024
- HNW clients · 62 to 41Mar 30, 2023 to Mar 25, 2024
- Individual clients · 50 to 40Mar 30, 2023 to Mar 25, 2024
- Pension plan clients · 6 to 5Mar 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $144M to $158MMar 30, 2023 to Mar 25, 2024
- HNW RAUM · $107M to $118MMar 30, 2023 to Mar 25, 2024
- Individual RAUM · $19.7M to $18.3MMar 30, 2023 to Mar 25, 2024
- Pension RAUM · $13.1M to $16.4MMar 30, 2023 to Mar 25, 2024
- RAUM · $144M to $158MMar 30, 2023 to Mar 25, 2024
- Accounts · 164 to 168Oct 20, 2022 to Mar 30, 2023
- HNW clients · 36 to 62Oct 20, 2022 to Mar 30, 2023
- Individual clients · 64 to 50Oct 20, 2022 to Mar 30, 2023
- Pension plan clients · 8 to 6Oct 20, 2022 to Mar 30, 2023
- Employees · 4 to 5Oct 20, 2022 to Mar 30, 2023
- Discretionary RAUM · $178M to $144MOct 20, 2022 to Mar 30, 2023
- HNW RAUM · $121M to $107MOct 20, 2022 to Mar 30, 2023
- Individual RAUM · $36.8M to $19.7MOct 20, 2022 to Mar 30, 2023
- Pension RAUM · $14.5M to $13.1MOct 20, 2022 to Mar 30, 2023
- RAUM · $178M to $144MOct 20, 2022 to Mar 30, 2023
- Accounts · 128 to 164Oct 12, 2021 to Mar 31, 2022
- Corporate clients · unset to 3.0Oct 12, 2021 to Mar 31, 2022
Signals
3 dated events
- K•••••• S•••• A••••• (Chief Compliance Officer) no longer on Schedule A of F•••••• E• R•••••• I••••••••• M••••••••• C•• (listed 2020-04-14, absent 2020-04-14)Apr 14, 2020 · Control person left · inference
- K•••••• S•••• A••••• (Chief Compliance Officer) appeared on Schedule A of F•••••• E• R•••••• I••••••••• M••••••••• C••Jan 3, 2020 · Control person joined · fact
- F•••••• E• R•••••• I••••••••• M••••••••• C•• filed its initial SEC registration (Form ADV)Sep 5, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- fer@ferimc.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 918-743-5959reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 918-743-5959reportedpublic record, Form ADV, Jun 4, 2026
- Contact form
- ferimc.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026