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.
Former SEC-registered adviser
Access Investment Advisors Inc
Latest filing Jan 24, 2024
First filing on the tape Mar 26, 2012 · 35 filings
RAUM
$218M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$201M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$218M as of Jan 22, 2024
Mar 26, 2012$104M then
HNW client RAUM$167M as of Jan 22, 2024
Feb 23, 2018$88.5M then
State-registered IARs (5.B.3)3 as of Jan 22, 2024
Mar 26, 20120 then
Employees (5.A)4 as of Jan 22, 2024
Jan 29, 20133 then
Private funds: no history
RAUM +6.6% over the last fiscal year+9.3% a year over threeIARs 4 to 3offices 1 to 0
Practice profile
derived from the filing of Jan 24, 2024; every figure names its basis
- RAUM per advisor
- $72.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $344,811derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $61.5M, 64 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$167M77%
- Individuals$34.1M16%
- Pension and profit-sharing plans$15.2M7.0%
- Corporations and businesses$1.4M0.7%
- Individual clients
- 133reported
- HNW clients
- 62reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 632reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $61.5M for 64 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
- Atley Thomas Gay to Merit Financial AdvisorsApr 4, 2024 · RIA to RIA
- William Robert Casey to Merit Financial AdvisorsApr 4, 2024 · RIA to RIA
- Jared Richard Meyer to Red Granite Wealth ManagementMar 12, 2024 · RIA to a state-registered adviser
- John Edward Cress to Practical Portfolios LLCJun 27, 2007 · Other
Joined, latest
- William Robert Casey from Marathon Advisors, IncMay 18, 1999 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Merit Financial AdvisorsApr 4, 2024 · Manitowoc, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert William Casey · Chief Compliance Officercontrolsince 01/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Manitowoc, Wi · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 584 to 632Feb 22, 2023 to Jan 22, 2024
- Advisory employees · 4 to 3Feb 22, 2023 to Jan 22, 2024
- HNW clients · 63 to 62Feb 22, 2023 to Jan 22, 2024
- Individual clients · 119 to 133Feb 22, 2023 to Jan 22, 2024
- Pension plan clients · 16 to 17Feb 22, 2023 to Jan 22, 2024
- Assets in custody · $60.5M to $61.5MFeb 22, 2023 to Jan 22, 2024
- Employees · 5 to 4Feb 22, 2023 to Jan 22, 2024
- State-registered IARs · 4 to 3Feb 22, 2023 to Jan 22, 2024
- Other offices · 1 to 0Feb 22, 2023 to Jan 22, 2024
- Discretionary RAUM · $204M to $218MFeb 22, 2023 to Jan 22, 2024
- HNW RAUM · $151M to $167MFeb 22, 2023 to Jan 22, 2024
- Individual RAUM · $37.1M to $34.1MFeb 22, 2023 to Jan 22, 2024
- Pension RAUM · $14.8M to $15.2MFeb 22, 2023 to Jan 22, 2024
- RAUM · $204M to $218MFeb 22, 2023 to Jan 22, 2024
- Accounts · 548 to 584Mar 4, 2022 to Feb 21, 2023
- Individual clients · 97 to 119Mar 4, 2022 to Feb 21, 2023
- Pension plan clients · 14 to 16Mar 4, 2022 to Feb 21, 2023
- Assets in custody · $52.6M to $60.5MMar 4, 2022 to Feb 21, 2023
- Discretionary RAUM · $186M to $204MMar 4, 2022 to Feb 21, 2023
- HNW RAUM · $142M to $151MMar 4, 2022 to Feb 21, 2023
- Individual RAUM · $26.6M to $37.1MMar 4, 2022 to Feb 21, 2023
- Pension RAUM · $16.2M to $14.8MMar 4, 2022 to Feb 21, 2023
- RAUM · $186M to $204MMar 4, 2022 to Feb 21, 2023
- Accounts · 506 to 548Jul 13, 2021 to Mar 3, 2022
- Advisory employees · 3 to 4Jul 13, 2021 to Mar 3, 2022
- HNW clients · 60 to 63Jul 13, 2021 to Mar 3, 2022
- Individual clients · 93 to 97Jul 13, 2021 to Mar 3, 2022
- Pension plan clients · 13 to 14Jul 13, 2021 to Mar 3, 2022
- Assets in custody · $46.8M to $52.6MJul 13, 2021 to Mar 3, 2022
- State-registered IARs · 3 to 4Jul 13, 2021 to Mar 3, 2022
- Discretionary RAUM · $167M to $186MJul 13, 2021 to Mar 3, 2022
- HNW RAUM · $128M to $142MJul 13, 2021 to Mar 3, 2022
- Individual RAUM · $24.1M to $26.6MJul 13, 2021 to Mar 3, 2022
- Pension RAUM · $13.7M to $16.2MJul 13, 2021 to Mar 3, 2022
- RAUM · $167M to $186MJul 13, 2021 to Mar 3, 2022
- Accounts · 239 to 506Jul 17, 2020 to Feb 22, 2021
- HNW clients · 52 to 60Jul 17, 2020 to Feb 22, 2021
- Individual clients · 101 to 93Jul 17, 2020 to Feb 22, 2021
- Pension plan clients · 16 to 13Jul 17, 2020 to Feb 22, 2021
- Assets in custody · $45.1M to $46.8MJul 17, 2020 to Feb 22, 2021
Signals
4 dated events
- Atley Thomas Gay left Access Investment Advisors Inc for Merit Financial Advisors (registered 2024-03-24)Apr 4, 2024 · Advisor changed firm · fact
- William Robert Casey left Access Investment Advisors Inc for Merit Financial Advisors (registered 2024-03-22)Apr 4, 2024 · Advisor changed firm · fact
- 2 advisors left Access Investment Advisors Inc (Manitowoc, WI) for Merit Financial Advisors on the same dayApr 4, 2024 · Team lift-out · derived
- Jared Richard Meyer left Access Investment Advisors Inc for Red Granite Wealth Management (registered 2024-03-11)Mar 12, 2024 · Advisor changed firm · fact
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