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
H••••••• P•••••• W••••• M•••••••••
Latest filing Sep 6, 2022
First filing on the tape Mar 30, 2012 · 26 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.3B as of Mar 29, 2022
Mar 30, 2012$331M then
HNW client RAUM$1.2B as of Mar 29, 2022
Mar 28, 2018$504M then
State-registered IARs (5.B.3)13 as of Mar 29, 2022
Mar 30, 20120 then
Employees (5.A)16 as of Mar 29, 2022
Apr 1, 20137 then
Private funds: no history
RAUM +30% over the last fiscal year+30% a year over threeIARs 13 to 13
Practice profile
derived from the filing of Sep 6, 2022; every figure names its basis
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.6MderivedHNW RAUM over HNW clients
- Average account
- $941,631derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $69.9M, 103 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- 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
- High-net-worth individuals$1.2B94%
- Charitable organizations$41.2M3.1%
- Individuals$20.2M1.5%
- Corporations and businesses$16.5M1.2%
- Individual clients
- 67reported
- HNW clients
- 165reported
- Pension plan clients
- n/areported
- Charitable clients
- 79reported
- Accounts
- 1,408reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.9M for 103 clientsreported
- 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
- M•••••• G••••• to H•••••••• A•••••••• L••Oct 31, 2022 · RIA to affiliated broker-dealer or bank
- J••• C•••• C••••••••• to H•••••••• A•••••••• L••Oct 31, 2022 · RIA to affiliated broker-dealer or bank
- K••••• M•••• T•••• to H•••••••• A•••••••• L••Oct 25, 2022 · RIA to affiliated broker-dealer or bank
- R•••• L•••• to H•••••••• A•••••••• L••Oct 25, 2022 · RIA to affiliated broker-dealer or bank
- J•••••• W••••• E•••••• to H•••••••• A•••••••• L••Oct 25, 2022 · RIA to affiliated broker-dealer or bank
- J••••••• C•••• to H•••••••• A•••••••• L••Oct 25, 2022 · RIA to affiliated broker-dealer or bank
- N•••••• G••••••• to H•••••••• A•••••••• L••Oct 25, 2022 · RIA to affiliated broker-dealer or bank
- R•••••• M•••• to L••Oct 25, 2022 · RIA to RIA
- B••••••• R•••••• J•••••• to H•••••••• A•••••••• L••Oct 25, 2022 · RIA to affiliated broker-dealer or bank
- C•••••• K•••••• to H•••••••• A•••••••• L••Oct 25, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• L•• M••••••••• to H•••••••• A•••••••• L••Oct 25, 2022 · RIA to affiliated broker-dealer or bank
- B••••••• W•••• to H•••••••• A•••••••• L••Oct 25, 2022 · RIA to affiliated broker-dealer or bank
- S••••• G•••• to H•••••••• A•••••••• L••Oct 25, 2022 · RIA to affiliated broker-dealer or bank
- C•••••••• G•••• B•••• to L••Dec 20, 2021 · RIA to RIA
- B•••• J•••• C••• to T•• C•••••• G••••• L••Nov 19, 2021 · RIA to RIA
Joined, latest
- K••••• M•••• T•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 11, 2022 · Wirehouse to independent RIA
- S••••• G•••• from A••••••••• F•••••••• S•••••••• L••May 14, 2021 · Affiliated broker-dealer or bank to independent RIA
- M•••••• L•• M••••••••• from C••••••••• A••••••• I••Aug 20, 2019 · RIA to RIA
- R•••••• M•••• from I•••••• M•••••• A•••••••• L••Jun 26, 2019 · Other
- B•••• J•••• C••• from N•••••••• S••••• I•••••••••Jun 19, 2019 · Other
- B••••••• W•••• from C••••••••• A••••••• I••Nov 29, 2016 · Other
- J•••••• N••••• P••••• from L••Apr 22, 2013 · Other
- B••••••• R•••••• J•••••• from L••Mar 27, 2012 · Other
- C•••••• K•••••• from L••Mar 27, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 12 left for H•••••••• A•••••••• L••Oct 25, 2022 · Bellevue, Wa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J•••• C•••• · President, Ceocontrolsince 05/1999 · owns 75% or more
- G•••••• M••••••• R••••• · Cco And Shareholdercontrolsince 01/2020 · owns 5% to 10%
- M••••••••• M••••••• L•• · Shareholdersince 01/2022 · owns 5% to 10%
- W••••• B••••••• · Shareholdersince 01/2022 · owns 5% to 10%
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 · 1,140 to 1,408May 3, 2021 to Mar 29, 2022
- Advisory employees · 13 to 14May 3, 2021 to Mar 29, 2022
- Charity clients · 54 to 79May 3, 2021 to Mar 29, 2022
- Corporate clients · 15 to 12May 3, 2021 to Mar 29, 2022
- HNW clients · 149 to 165May 3, 2021 to Mar 29, 2022
- Individual clients · 26 to 67May 3, 2021 to Mar 29, 2022
- Employees · 14 to 16May 3, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.0B to $1.3BMay 3, 2021 to Mar 29, 2022
- HNW RAUM · $958M to $1.2BMay 3, 2021 to Mar 29, 2022
- Individual RAUM · $18.0M to $20.2MMay 3, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $8.3M to $15.1MMay 3, 2021 to Mar 29, 2022
- RAUM · $1.0B to $1.3BMay 3, 2021 to Mar 29, 2022
- Accounts · 988 to 1,140Oct 21, 2020 to Mar 30, 2021
- Charity clients · 45 to 54Oct 21, 2020 to Mar 30, 2021
- HNW clients · 124 to 149Oct 21, 2020 to Mar 30, 2021
- Individual clients · 13 to 26Oct 21, 2020 to Mar 30, 2021
- Assets in custody · $28.6M to $69.9MOct 21, 2020 to Mar 30, 2021
- State-registered IARs · 12 to 13Oct 21, 2020 to Mar 30, 2021
- Discretionary RAUM · $787M to $1.0BOct 21, 2020 to Mar 30, 2021
- HNW RAUM · $767M to $958MOct 21, 2020 to Mar 30, 2021
- Individual RAUM · $11.3M to $18.0MOct 21, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $29.9M to $8.3MOct 21, 2020 to Mar 30, 2021
- RAUM · $817M to $1.0BOct 21, 2020 to Mar 30, 2021
- Accounts · 832 to 988Jan 13, 2020 to Mar 21, 2020
- Advisory employees · 8 to 13Jan 13, 2020 to Mar 21, 2020
- Charity clients · 36 to 45Jan 13, 2020 to Mar 21, 2020
- Corporate clients · 6 to 15Jan 13, 2020 to Mar 21, 2020
- HNW clients · 101 to 124Jan 13, 2020 to Mar 21, 2020
- Individual clients · 8 to 13Jan 13, 2020 to Mar 21, 2020
- Assets in custody · $24.6M to $28.6MJan 13, 2020 to Mar 21, 2020
- Employees · 8 to 14Jan 13, 2020 to Mar 21, 2020
- State-registered IARs · 7 to 12Jan 13, 2020 to Mar 21, 2020
- Discretionary RAUM · $568M to $787MJan 13, 2020 to Mar 21, 2020
- HNW RAUM · $561M to $767MJan 13, 2020 to Mar 21, 2020
- Individual RAUM · $7.5M to $11.3MJan 13, 2020 to Mar 21, 2020
- Non-discretionary RAUM · $30.7M to $29.9MJan 13, 2020 to Mar 21, 2020
- RAUM · $598M to $817MJan 13, 2020 to Mar 21, 2020
- Accounts · 706 to 832Mar 28, 2018 to Mar 28, 2019
- Charity clients · 25 to 36Mar 28, 2018 to Mar 28, 2019
- Corporate clients · 5 to 6Mar 28, 2018 to Mar 28, 2019
Signals
19 dated events
- M•••••• G••••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 31, 2022 · Advisor changed firm · fact
- J••• C•••• C••••••••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 31, 2022 · Advisor changed firm · fact
- J•••••• W••••• E•••••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 25, 2022 · Advisor changed firm · fact
- J••••••• C•••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 25, 2022 · Advisor changed firm · fact
- R•••••• M•••• left H••••••• P•••••• W••••• M••••••••• for Lnw (registered 2022-10-13)Oct 25, 2022 · Advisor changed firm · fact
- R•••• L•••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 25, 2022 · Advisor changed firm · fact
- C•••••• K•••••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 25, 2022 · Advisor changed firm · fact
- N•••••• G••••••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 25, 2022 · Advisor changed firm · fact
- S••••• G•••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 25, 2022 · Advisor changed firm · fact
- K••••• M•••• T•••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 25, 2022 · Advisor changed firm · fact
- B••••••• R•••••• J•••••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 25, 2022 · Advisor changed firm · fact
- B••••••• W•••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 25, 2022 · Advisor changed firm · fact
- M•••••• L•• M••••••••• left H••••••• P•••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2022-09-30)Oct 25, 2022 · Advisor changed firm · fact
- H••••••• P•••••• W••••• M•••••••••'s advisors moved to H•••••••• A•••••••• L•• (Bellevue, WA): 12 of 13 registered, within 6 daysOct 25, 2022 · Firm absorbed (people side) · derived
- H••••••• P•••••• W••••• M••••••••• reported RAUM $1.3B, up 30% from $1.0B (2021-05-03 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- H••••••• P•••••• W••••• M••••••••• reported RAUM $1.0B, up 25% from $816.8M (2020-10-21 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- H••••••• P•••••• W••••• M••••••••• reported RAUM $816.8M, up 37% from $598.3M (2020-01-13 to 2020-03-21)Mar 21, 2020 · RAUM change · derived
- Robert M•••••• G••••• (Cco) appeared on Schedule A of H••••••• P•••••• W••••• M•••••••••Jan 13, 2020 · Control person joined · fact
- H••••••• P•••••• W••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 28, 2015 · Succession (Item 4) · 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