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

S•••••• C•••••• M••••••••• L••

Former SEC-registered adviserPhoenix, ArizonaCRD 109415SEC 801-57690IAPD
Latest filing Jun 30, 2020
First filing on the tape Mar 29, 2012 · 21 filings
RAUM
$408M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
54%
$221M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 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$408M as of Mar 30, 2020
Mar 29, 2012$153M then
HNW client RAUM$178M as of Mar 30, 2020
Mar 30, 2018$166M then
State-registered IARs (5.B.3)7 as of Mar 30, 2020
Mar 28, 20134 then
Employees (5.A)8 as of Mar 30, 2020
Mar 28, 20135 then
Private funds1 as of Mar 31, 2019
Mar 29, 20121 then
RAUM +19% over the last fiscal year+11% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$58.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
24derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$710,358derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.2%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$43.7M, 49 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$178M44%
  • Pension and profit-sharing plans$110M27%
  • State and municipal entities$47.5M12%
  • Individuals$42.7M10%
  • Corporations and businesses$18.2M4.5%
  • Charitable organizations$11.5M2.8%
Individual clients
96reported
HNW clients
70reported
Pension plan clients
23reported
Charitable clients
6reported
Accounts
574reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$43.7M for 49 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    S•••••• I••••••••• A•••••••• L•••Other Private Fund$523,27519Mar 29, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • R•••••• S•••••• L• · Chief Compliance Officer/Director Of Fiduciary Servicescontrol
      since 03/2011 · owns less than 5%
    • R•••••• J•••• E•••• · Director Of Researchcontrol
      since 09/2009 · owns less than 5%
    • T••••• A•• T•••••• S••••••• J••• · Managing Member/Co-Ttee Of Taddie Family Trustcontrol
      since 07/2000 · owns less than 5%
    • T•••••• K•••••••• A• · Co-Trustee Of Taddie Family Trustcontrol
      since 12/2011 · owns less than 5%
    Entity owners
    • T••••• F••••• T•••• U•••• 0••••••••• · Owner
      direct · 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 · 523 to 574
      Nov 22, 2019 to Mar 30, 2020
    • Advisory activities · 4 to 3
      Nov 22, 2019 to Mar 30, 2020
    • Charity clients · 4 to 6
      Nov 22, 2019 to Mar 30, 2020
    • HNW clients · 75 to 70
      Nov 22, 2019 to Mar 30, 2020
    • Individual clients · 89 to 96
      Nov 22, 2019 to Mar 30, 2020
    • Pension plan clients · 29 to 23
      Nov 22, 2019 to Mar 30, 2020
    • Pooled vehicle clients · 1 to 0
      Nov 22, 2019 to Mar 30, 2020
    • Assets in custody · $58.8M to $43.7M
      Nov 22, 2019 to Mar 30, 2020
    • State-registered IARs · 6 to 7
      Nov 22, 2019 to Mar 30, 2020
    • Private funds · 1 to unset
      Nov 22, 2019 to Mar 30, 2020
    • Discretionary RAUM · $341M to $406M
      Nov 22, 2019 to Mar 30, 2020
    • HNW RAUM · $154M to $178M
      Nov 22, 2019 to Mar 30, 2020
    • Individual RAUM · $33.4M to $42.7M
      Nov 22, 2019 to Mar 30, 2020
    • Non-discretionary RAUM · $1.2M to $1.3M
      Nov 22, 2019 to Mar 30, 2020
    • Pension RAUM · $90.9M to $110M
      Nov 22, 2019 to Mar 30, 2020
    • Pooled vehicle RAUM · $552,280 to $0
      Nov 22, 2019 to Mar 30, 2020
    • RAUM · $342M to $408M
      Nov 22, 2019 to Mar 30, 2020
    • Assets in custody · unset to 58794000.0
      Jun 27, 2019 to Nov 22, 2019
    • Custody of client assets · false to true
      Jun 27, 2019 to Nov 22, 2019
    • Accounts · 219 to 523
      Jul 2, 2018 to Mar 31, 2019
    • Charity clients · 3 to 4
      Jul 2, 2018 to Mar 31, 2019
    • HNW clients · 80 to 75
      Jul 2, 2018 to Mar 31, 2019
    • Individual clients · 90 to 89
      Jul 2, 2018 to Mar 31, 2019
    • Pension plan clients · 32 to 29
      Jul 2, 2018 to Mar 31, 2019
    • Assets in custody · 1323554.0 to unset
      Jul 2, 2018 to Mar 31, 2019
    • Custody of client assets · true to false
      Jul 2, 2018 to Mar 31, 2019
    • Employees · 11 to 8
      Jul 2, 2018 to Mar 31, 2019
    • Financial planning clients · unset to 0
      Jul 2, 2018 to Mar 31, 2019
    • State-registered IARs · 7 to 6
      Jul 2, 2018 to Mar 31, 2019
    • Discretionary RAUM · $355M to $341M
      Jul 2, 2018 to Mar 31, 2019
    • HNW RAUM · $166M to $154M
      Jul 2, 2018 to Mar 31, 2019
    • Individual RAUM · $37.4M to $33.4M
      Jul 2, 2018 to Mar 31, 2019
    • Non-discretionary RAUM · $1.3M to $1.2M
      Jul 2, 2018 to Mar 31, 2019
    • Pension RAUM · $117M to $90.9M
      Jul 2, 2018 to Mar 31, 2019
    • Pooled vehicle RAUM · $1.6M to $552,280
      Jul 2, 2018 to Mar 31, 2019
    • RAUM · $357M to $342M
      Jul 2, 2018 to Mar 31, 2019
    • Assets in custody · $17.0M to $1.3M
      Mar 30, 2018 to Jul 2, 2018
    • Accounts · 493 to 219
      Jun 29, 2017 to Mar 30, 2018
    • Charity clients · unset to 3.0
      Jun 29, 2017 to Mar 30, 2018
    • Corporate clients · unset to 9.0
      Jun 29, 2017 to Mar 30, 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