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

W•••••• G•••• A••••••• L••

Former SEC-registered adviserCRD 109395SEC 801-57711IAPD
Latest filing Feb 1, 2021
First filing on the tape Feb 16, 2012 · 13 filings
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$111M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
13 filings and snapshots on the tape
RAUM$119M as of Feb 1, 2021
Feb 16, 2012$99.0M then
HNW client RAUM$40.3M as of Feb 1, 2021
Feb 12, 2018$54.4M then
State-registered IARs (5.B.3)1 as of Feb 1, 2021
Feb 16, 20120 then
Employees (5.A)1 as of Feb 1, 2021
Jan 28, 20131 then
Private funds: no history
RAUM -23% over the last fiscal year-6.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 1, 2021; every figure names its basis
RAUM per advisor
$119MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
99derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$389,522derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.0%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
-23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-17%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$3.8M, 6 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)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$71.1M60%
  • High-net-worth individuals$40.3M34%
  • Pension and profit-sharing plans$7.1M6.0%
  • Corporations and businesses$335,7840.3%
Individual clients
89reported
HNW clients
10reported
Pension plan clients
6reported
Charitable clients
0reported
Accounts
305reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.8M for 6 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
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
      • K•••••••• S••••••• G•••• · Manager & Chief Compliance Officercontrol
        since 02/1996 · 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 · 340 to 305
        Apr 22, 2020 to Feb 1, 2021
      • HNW clients · 17 to 10
        Apr 22, 2020 to Feb 1, 2021
      • Individual clients · 102 to 89
        Apr 22, 2020 to Feb 1, 2021
      • Assets in custody · $3.9M to $3.8M
        Apr 22, 2020 to Feb 1, 2021
      • Discretionary RAUM · $155M to $119M
        Apr 22, 2020 to Feb 1, 2021
      • HNW RAUM · $71.9M to $40.3M
        Apr 22, 2020 to Feb 1, 2021
      • Individual RAUM · $76.8M to $71.1M
        Apr 22, 2020 to Feb 1, 2021
      • Pension RAUM · $6.0M to $7.1M
        Apr 22, 2020 to Feb 1, 2021
      • RAUM · $155M to $119M
        Apr 22, 2020 to Feb 1, 2021
      • Accounts · 342 to 340
        Sep 6, 2019 to Jan 23, 2020
      • HNW clients · 11 to 17
        Sep 6, 2019 to Jan 23, 2020
      • Individual clients · 110 to 102
        Sep 6, 2019 to Jan 23, 2020
      • Assets in custody · $3.4M to $3.9M
        Sep 6, 2019 to Jan 23, 2020
      • Discretionary RAUM · $130M to $155M
        Sep 6, 2019 to Jan 23, 2020
      • HNW RAUM · $47.3M to $71.9M
        Sep 6, 2019 to Jan 23, 2020
      • Individual RAUM · $76.4M to $76.8M
        Sep 6, 2019 to Jan 23, 2020
      • Pension RAUM · $6.1M to $6.0M
        Sep 6, 2019 to Jan 23, 2020
      • RAUM · $130M to $155M
        Sep 6, 2019 to Jan 23, 2020
      • Accounts · 359 to 342
        Feb 12, 2018 to Jan 17, 2019
      • HNW clients · 13 to 11
        Feb 12, 2018 to Jan 17, 2019
      • Individual clients · 102 to 110
        Feb 12, 2018 to Jan 17, 2019
      • Assets in custody · $4.8M to $3.4M
        Feb 12, 2018 to Jan 17, 2019
      • Discretionary RAUM · $147M to $130M
        Feb 12, 2018 to Jan 17, 2019
      • HNW RAUM · $54.4M to $47.3M
        Feb 12, 2018 to Jan 17, 2019
      • Individual RAUM · $81.9M to $76.4M
        Feb 12, 2018 to Jan 17, 2019
      • Pension RAUM · $10.3M to $6.1M
        Feb 12, 2018 to Jan 17, 2019
      • RAUM · $147M to $130M
        Feb 12, 2018 to Jan 17, 2019
      • Accounts · 349 to 359
        Jan 18, 2017 to Feb 12, 2018
      • Charity clients · unset to 0.0
        Jan 18, 2017 to Feb 12, 2018
      • HNW clients · unset to 13.0
        Jan 18, 2017 to Feb 12, 2018
      • Individual clients · unset to 102.0
        Jan 18, 2017 to Feb 12, 2018
      • Pension plan clients · unset to 6.0
        Jan 18, 2017 to Feb 12, 2018
      • Pooled vehicle clients · unset to 0.0
        Jan 18, 2017 to Feb 12, 2018
      • Assets in custody · unset to 4834262.0
        Jan 18, 2017 to Feb 12, 2018
      • Custody of client assets · false to true
        Jan 18, 2017 to Feb 12, 2018
      • Other offices · unset to 0.0
        Jan 18, 2017 to Feb 12, 2018
      • Discretionary RAUM · $135M to $147M
        Jan 18, 2017 to Feb 12, 2018
      • HNW RAUM · unset to 54442845.0
        Jan 18, 2017 to Feb 12, 2018
      • Individual RAUM · unset to 81942811.0
        Jan 18, 2017 to Feb 12, 2018
      • Pension RAUM · unset to 10256006.0
        Jan 18, 2017 to Feb 12, 2018
      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