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••••••••• W••••• A•••••••• L••

Former SEC-registered adviserLas Vegas, NevadaCRD 109919SEC 801-47164IAPD
Latest filing Mar 22, 2017
First filing on the tape Mar 27, 2012 · 8 filings
RAUM
$118M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$118M as of Mar 22, 2017
Mar 27, 2012$99.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 22, 2017
Mar 27, 20120 then
Employees (5.A)3 as of Mar 22, 2017
Mar 26, 20133 then
Private funds: no history
RAUM +11% over the last fiscal year-1.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 22, 2017; every figure names its basis
RAUM per advisor
$39.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$358,451derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
328reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
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
    • B••••••••• R•••••• W•••••• · President/Owner/Chief Compliance Officercontrol
      since 04/1994 · 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 · 336 to 328
      Mar 30, 2016 to Mar 22, 2017
    • Non-discretionary RAUM · $106M to $118M
      Mar 30, 2016 to Mar 22, 2017
    • RAUM · $106M to $118M
      Mar 30, 2016 to Mar 22, 2017
    • Accounts · 296 to 336
      May 7, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $129M to $106M
      May 7, 2015 to Mar 30, 2016
    • RAUM · $129M to $106M
      May 7, 2015 to Mar 30, 2016
    • Accounts · 284 to 296
      Sep 16, 2014 to Mar 26, 2015
    • Non-discretionary RAUM · $122M to $129M
      Sep 16, 2014 to Mar 26, 2015
    • RAUM · $122M to $129M
      Sep 16, 2014 to Mar 26, 2015
    • Accounts · 308 to 284
      Mar 26, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $105M to $122M
      Mar 26, 2013 to Mar 31, 2014
    • RAUM · $105M to $122M
      Mar 26, 2013 to Mar 31, 2014
    • Accounts · 238 to 308
      Mar 27, 2012 to Mar 26, 2013
    • Advisory employees · unset to 3.0
      Mar 27, 2012 to Mar 26, 2013
    • Advisory activities · 4 to 5
      Mar 27, 2012 to Mar 26, 2013
    • BD registered reps · unset to 3.0
      Mar 27, 2012 to Mar 26, 2013
    • Employees · unset to 3.0
      Mar 27, 2012 to Mar 26, 2013
    • State-registered IARs · 0 to 3
      Mar 27, 2012 to Mar 26, 2013
    • Non-discretionary RAUM · $99.2M to $105M
      Mar 27, 2012 to Mar 26, 2013
    • RAUM · $99.2M to $105M
      Mar 27, 2012 to Mar 26, 2013
    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