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
C••••••• C•••••• M••••••••• L•••••
Latest filing Jun 17, 2024
First filing on the tape Mar 30, 2012 · 30 filings
SEC status approved since Apr 27, 1995
RAUM
$386M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.1%
$4.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$2.3B as of Mar 26, 2024
Mar 30, 2012$1.2B then
HNW client RAUM$11.8M as of Mar 26, 2024
Mar 27, 2018$49.7M then
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 30, 20120 then
Employees (5.A)16 as of Mar 26, 2024
Mar 28, 201314 then
Private funds1 as of Mar 26, 2024
Mar 30, 20122 then
RAUM -88% over the last fiscal year-52% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 17, 2024; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 38%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -30%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -33%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$127M33%
- Pooled investment vehicles$116M30%
- Other investment advisers$90.6M23%
- Investment companies$27.1M7.0%
- Charitable organizations$20.9M5.4%
- High-net-worth individuals$4.3M1.1%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 2reported
- Charitable clients
- 4reported
- Accounts
- 255reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $121M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• M•••••• V•••• E••••• P•••••••• L•no longer reported | Other Private Fund | $2.5M | 6 | Mar 30, 2012 |
| C••••••• V•••• E••••• P•••••••• L••• | Other Private Fund | $2.3M | 32 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••• E•••••• •••• · Membercontrolsince 04/1995 · owns 25% to 50%
- K••••••••• R•••••• B••••••• · Member, Chief Compliance Officercontrolsince 08/2000 · owns 25% to 50%
- M••••••• A••• K••••• · Membercontrolsince 04/1995 · owns 10% to 25%
- M••••••• A••• K••••• · Membercontrolsince 01/2019 · owns 75% or more of A•• H•••••••• L••
- M••••••• A••• K••••• · Trusteecontrolsince 01/2019 · owns 75% or more of A•• R•••••••• T••••
- F•••••• R•••••• H••• · Membersince 07/2015 · owns less than 5%
- M•••••••• R•••••• D••• · Membersince 01/2012 · owns 5% to 10%
Entity owners
- A•• H•••••••• L•• · Memberdirect · owns 5% to 10%
- A•• R•••••••• T•••• · Memberdirect · owns 10% to 25%
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 · 324 to 255May 3, 2024 to Jun 17, 2024
- BD registered reps · 2 to 1May 3, 2024 to Jun 17, 2024
- Charity clients · 5 to 4May 3, 2024 to Jun 17, 2024
- Pension plan clients · 3 to 2May 3, 2024 to Jun 17, 2024
- Employees · 15 to 13May 3, 2024 to Jun 17, 2024
- Discretionary RAUM · $1.5B to $386MMay 3, 2024 to Jun 17, 2024
- HNW RAUM · $4.3M to $4.3MMay 3, 2024 to Jun 17, 2024
- Pension RAUM · $350M to $127MMay 3, 2024 to Jun 17, 2024
- Pooled vehicle RAUM · $125M to $116MMay 3, 2024 to Jun 17, 2024
- RAUM · $1.5B to $386MMay 3, 2024 to Jun 17, 2024
- Accounts · 424 to 324Mar 27, 2024 to May 3, 2024
- Charity clients · 6 to 5Mar 27, 2024 to May 3, 2024
- HNW clients · 4 to 2Mar 27, 2024 to May 3, 2024
- Pension plan clients · 8 to 3Mar 27, 2024 to May 3, 2024
- Pooled vehicle clients · 3 to 2Mar 27, 2024 to May 3, 2024
- Assets in custody · 46100013.0 to unsetMar 27, 2024 to May 3, 2024
- Custody of client assets · true to falseMar 27, 2024 to May 3, 2024
- Employees · 16 to 15Mar 27, 2024 to May 3, 2024
- Private funds · 1 to unsetMar 27, 2024 to May 3, 2024
- Discretionary RAUM · $2.3B to $1.5BMar 27, 2024 to May 3, 2024
- HNW RAUM · $11.8M to $4.3MMar 27, 2024 to May 3, 2024
- Pension RAUM · $784M to $350MMar 27, 2024 to May 3, 2024
- Pooled vehicle RAUM · $278M to $125MMar 27, 2024 to May 3, 2024
- RAUM · $2.3B to $1.5BMar 27, 2024 to May 3, 2024
- Wrap assets (manager) · $169M to $121MMar 27, 2024 to May 3, 2024
- Accounts · 746 to 424Oct 17, 2023 to Mar 26, 2024
- Charity clients · 10 to 6Oct 17, 2023 to Mar 26, 2024
- HNW clients · 6 to 4Oct 17, 2023 to Mar 26, 2024
- Pension plan clients · 14 to 8Oct 17, 2023 to Mar 26, 2024
- Employees · 17 to 16Oct 17, 2023 to Mar 26, 2024
- Discretionary RAUM · $3.2B to $2.3BOct 17, 2023 to Mar 26, 2024
- HNW RAUM · $17.3M to $11.8MOct 17, 2023 to Mar 26, 2024
- Pension RAUM · $1.1B to $784MOct 17, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $300M to $278MOct 17, 2023 to Mar 26, 2024
- RAUM · $3.2B to $2.3BOct 17, 2023 to Mar 26, 2024
- Wrap assets (manager) · $354M to $169MOct 17, 2023 to Mar 26, 2024
- Accounts · 43 to 746Mar 23, 2023 to Mar 24, 2023
- Accounts · 729 to 43Mar 23, 2022 to Mar 23, 2023
- Charity clients · 13 to 10Mar 23, 2022 to Mar 23, 2023
- Pooled vehicle clients · 4 to 3Mar 23, 2022 to Mar 23, 2023
Signals
6 dated events
- C••••••• C•••••• M••••••••• L••••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $386.3M)Feb 3, 2025 · Left the SEC roster · derived
- C••••••• C•••••• M••••••••• L••••• reported RAUM $386.3M, down 74% from $1.5B (2024-05-03 to 2024-06-17)Jun 17, 2024 · RAUM change · derived
- D Dahlia Black (Chief Compliance Officer) no longer on Schedule A of C••••••• C•••••• M••••••••• L••••• (listed 2024-05-03, absent 2024-06-17)Jun 17, 2024 · Control person left · inference
- C••••••• C•••••• M••••••••• L••••• reported RAUM $1.5B, down 35% from $2.3B (2024-03-27 to 2024-05-03)May 3, 2024 · RAUM change · derived
- C••••••• C•••••• M••••••••• L••••• reported RAUM $2.3B, down 30% from $3.2B (2023-10-17 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- C••••••• C•••••• M••••••••• L••••• reported RAUM $3.2B, down 27% from $4.4B (2022-03-23 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
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