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
N••••••••• A•••• M••••••••• L••
Latest filing Mar 29, 2021
First filing on the tape Nov 22, 2011 · 32 filings
RAUM
$2.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$1.9B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
32
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$2.1B as of Mar 29, 2021
Apr 3, 2012$1.4B then
HNW client RAUM$914M as of Mar 29, 2021
Mar 26, 2018$410M then
State-registered IARs (5.B.3)16 as of Mar 29, 2021
Mar 14, 20130 then
Employees (5.A)32 as of Mar 29, 2021
Mar 14, 201318 then
Private funds1 as of Jan 21, 2015
Mar 14, 20131 then
RAUM +1.5% over the last fiscal year+6.2% a year over threeIARs 13 to 16
Practice profile
derived from the filing of Mar 29, 2021; every figure names its basis
- RAUM per advisor
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 359derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $338,584derivedHNW RAUM over HNW clients
- Average account
- $356,933derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 16.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +23%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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$1.0B48%
- High-net-worth individuals$914M43%
- Corporations and businesses$93.7M4.4%
- Pension and profit-sharing plans$40.6M1.9%
- Investment companies$33.4M1.6%
- Charitable organizations$18.5M0.9%
- Individual clients
- 3,045reported
- HNW clients
- 2,700reported
- Pension plan clients
- 94reported
- Charitable clients
- 22reported
- Accounts
- 5,971reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $260M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- P•••••• J••••••••• J•••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- F•••••• N•••••••• S•••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- B•••• C• P••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- J••••• R••• M••••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- J•••• P••••• W••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- C•••••• R•••••• P••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- C•••••• K•••••••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- P•••• N•••••••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- T••••• J••• C•••••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- A•••• R••••• D•••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- K••••• Z•• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- E••• K•••••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- F•••• J••• I•••••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- S•••••••• J•••• O•••••••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
- R••••• E••••• W••••• to C•••••••• W•••••Nov 8, 2021 · RIA to RIA
Joined, latest
- B•••• C• P••• from L•••Jun 16, 2021 · RIA to RIA
- E••• K•••••• from C••••• S••••• S••••••••• •••• L••Aug 28, 2019 · Other
- F•••••• N•••••••• S•••• from C•••••• S••••• • C••• I•••Aug 20, 2019 · Affiliated broker-dealer or bank to independent RIA
- T••••• J••• C•••••• from M••••• S••••••Mar 20, 2019 · Wirehouse to independent RIA
- W•••••• J••••• O••••••• from E•••••• C•••••• M••••••••• L••Dec 14, 2018 · RIA to RIA
- B••••• D••••• A••••••••• from C•••••• S••••• • C••• I•••Aug 30, 2017 · Other
- A•••••• R••••• D•••••• from S•••••••• A••••••• L••Apr 5, 2013 · Other
- E••••• P• S••••••• from M••••••• I••••••••• M••••••••• ••• L••May 14, 2012 · Other
- A••••• T••••• C•••••• from U•• F•••••••• S••••••• I•••Oct 17, 2011 · Other
- R••••• E••••• W••••• from A••••••••• F•••••••• S•••••••• L••Jun 2, 2008 · Other
- J••• M•••••• W•••••• from S•••••••• A••••••• L••Dec 10, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 14 left for C•••••••• W•••••Nov 8, 2021 · Greenwich, Ct · Firm absorbed
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N••••••••• L••••••••• E••••••• L••no longer reported | Hedge Fund | $4.6M | 17 | Jan 16, 2013 |
Owners and control persons
Schedule A and B, latest filing
- D•••• M•••• C•••••••• · Managing Director - Finance / Membercontrolsince 06/2004 · owns less than 5%
- H•••• M•••• · Chief Compliance Officer / Svpcontrolsince 07/2016 · owns less than 5%
- J••••• P••••••• J••••••••• · Chief Investment Officer / Membercontrolsince 01/2012 · owns 10% to 25%
- K••••••••• D•••••• J••••• · Chief Executive Officer & President / Managing Membercontrolsince 06/2004 · owns 50% to 75%
- D•••• M••• · General Partnercontrolsince 11/2019 · owns F of D••• T•••••• A•••••••••
- D•••• M••• · Sole Trusteecontrolsince 11/2019 · owns F of D••• A•••• T••••
Entity owners
- D••• A•••• T•••• · Memberdirect · owns 10% to 25%
- D••• T•••••• A••••••••• · Memberdirect · 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 · 5,422 to 5,971Jun 23, 2020 to Mar 29, 2021
- Advisory employees · 20 to 24Jun 23, 2020 to Mar 29, 2021
- Charity clients · 34 to 22Jun 23, 2020 to Mar 29, 2021
- Corporate clients · 113 to 109Jun 23, 2020 to Mar 29, 2021
- HNW clients · 2,055 to 2,700Jun 23, 2020 to Mar 29, 2021
- Individual clients · 3,100 to 3,045Jun 23, 2020 to Mar 29, 2021
- Pension plan clients · 119 to 94Jun 23, 2020 to Mar 29, 2021
- Employees · 29 to 32Jun 23, 2020 to Mar 29, 2021
- State-registered IARs · 13 to 16Jun 23, 2020 to Mar 29, 2021
- Discretionary RAUM · $2.1B to $2.1BJun 23, 2020 to Mar 29, 2021
- HNW RAUM · $736M to $914MJun 23, 2020 to Mar 29, 2021
- Individual RAUM · $1.1B to $1.0BJun 23, 2020 to Mar 29, 2021
- Pension RAUM · $52.2M to $40.6MJun 23, 2020 to Mar 29, 2021
- RAUM · $2.1B to $2.1BJun 23, 2020 to Mar 29, 2021
- Wrap assets (manager) · $329M to $260MJun 23, 2020 to Mar 29, 2021
- Charity clients · 16 to 34May 15, 2019 to Mar 27, 2020
- Accounts · 4,166 to 5,422May 15, 2019 to Mar 27, 2020
- BD registered reps · 1 to 3May 15, 2019 to Mar 27, 2020
- Corporate clients · 107 to 113May 15, 2019 to Mar 27, 2020
- HNW clients · 234 to 2,055May 15, 2019 to Mar 27, 2020
- Individual clients · 3,756 to 3,100May 15, 2019 to Mar 27, 2020
- Pension plan clients · 52 to 119May 15, 2019 to Mar 27, 2020
- Discretionary RAUM · $1.7B to $2.1BMay 15, 2019 to Mar 27, 2020
- HNW RAUM · $407M to $736MMay 15, 2019 to Mar 27, 2020
- Individual RAUM · $950M to $1.1BMay 15, 2019 to Mar 27, 2020
- Pension RAUM · $29.6M to $52.2MMay 15, 2019 to Mar 27, 2020
- RAUM · $1.7B to $2.1BMay 15, 2019 to Mar 27, 2020
- Wrap assets (manager) · $321M to $329MMay 15, 2019 to Mar 27, 2020
- Accounts · 5,280 to 4,166Jun 22, 2018 to Mar 29, 2019
- Charity clients · 18 to 16Jun 22, 2018 to Mar 29, 2019
- Corporate clients · 110 to 107Jun 22, 2018 to Mar 29, 2019
- HNW clients · 241 to 234Jun 22, 2018 to Mar 29, 2019
- Individual clients · 3,338 to 3,756Jun 22, 2018 to Mar 29, 2019
- Pension plan clients · 54 to 52Jun 22, 2018 to Mar 29, 2019
- Discretionary RAUM · $1.8B to $1.7BJun 22, 2018 to Mar 29, 2019
- HNW RAUM · $410M to $407MJun 22, 2018 to Mar 29, 2019
- Individual RAUM · $978M to $950MJun 22, 2018 to Mar 29, 2019
- Pension RAUM · $33.5M to $29.6MJun 22, 2018 to Mar 29, 2019
- RAUM · $1.8B to $1.7BJun 22, 2018 to Mar 29, 2019
- Wrap assets (manager) · $314M to $321MJun 22, 2018 to Mar 29, 2019
Signals
3 dated events
- N••••••••• A•••• M••••••••• L•• reported RAUM $2.1B, up 27% from $1.7B (2019-05-15 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Mark Dean (General Partner) appeared on Schedule A of N••••••••• A•••• M••••••••• L••Mar 27, 2020 · Control person joined · fact
- Edwin Paul Dean (Chairman / Member) no longer on Schedule A of N••••••••• A•••• M••••••••• L•• (listed 2019-05-15, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
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