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
W••••• W••••• M••••••••• L••
Latest filing Mar 24, 2017
First filing on the tape Dec 2, 2011 · 16 filings
RAUM
$494M
reported, Item 5.F
Discretionary
100%
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$494M as of Mar 24, 2017
Mar 29, 2012$304M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 24, 2017
Mar 14, 20135 then
Employees (5.A)10 as of Mar 24, 2017
Mar 14, 201310 then
Private funds: no history
RAUM +9.0% over the last fiscal year+7.2% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 24, 2017; every figure names its basis
- RAUM per advisor
- $98.7MderivedRAUM 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
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $2.3M, 2 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
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
- 303reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.3M for 2 clientsreported
- 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
- D•••••• E••••• L•••• to S••••••••• P•••••• C•••••• M••••••••• L••Mar 21, 2018 · Other
- G••• A••••• W••••• to S••••••••• P•••••• C•••••• M••••••••• L••Mar 21, 2018 · Other
- C••••• J•••• S•••••• to S••••••••• P•••••• C•••••• M••••••••• L••Mar 21, 2018 · Other
- A•• L•• B••• to S••••••••• P•••••• C•••••• M••••••••• L••Mar 21, 2018 · Other
- B•••••• E••••• N••••• to S••••••••• P•••••• C•••••• M••••••••• L••Mar 21, 2018 · Other
- G••••• M•••• V•••• to S••••••••• P•••••• C•••••• M••••••••• L••Mar 21, 2018 · Other
- T•••• L••• P•••• to W••••• L••••• I••••••••• I•••Sep 5, 2013 · Other
- D••• A••••• L•••• to L•••• W••••• M••••••••• L••Feb 10, 2011 · Other
Joined, latest
- D•••••• E••••• L•••• from S••••• W••••• A•••••••• I•••Oct 16, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for S••••••••• P•••••• C•••••• M••••••••• L••Mar 21, 2018 · Denver, Co · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• B••••••• E••••• · Member, Principalcontrolsince 01/2010 · owns 10% to 25%
- W•••••• G•••• A••••• · Member, Principalcontrolsince 01/2002 · owns 50% to 75%
- B•••• A••• L•• · Principal, Advisorsince 07/2016 · owns 5% to 10%
- G••••••• J••••• A•• · Principal, Chief Compliance Officersince 07/2016 · owns 5% to 10%
- L••••• D••••••• E••••• · Principal, Advisorsince 07/2016 · owns 5% to 10%
- S••••••• C•••••• J•••• · Principal, Advisorsince 07/2016 · 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 · 259 to 303Aug 30, 2016 to Mar 24, 2017
- Assets in custody · $1.7M to $2.3MAug 30, 2016 to Mar 24, 2017
- Employees · 9 to 10Aug 30, 2016 to Mar 24, 2017
- Discretionary RAUM · $453M to $494MAug 30, 2016 to Mar 24, 2017
- RAUM · $453M to $494MAug 30, 2016 to Mar 24, 2017
- Assets in custody · unset to 1700000.0Mar 10, 2016 to Aug 30, 2016
- Custody of client assets · false to trueMar 10, 2016 to Aug 30, 2016
- Accounts · 245 to 259Mar 26, 2015 to Mar 10, 2016
- Discretionary RAUM · $448M to $453MMar 26, 2015 to Mar 10, 2016
- RAUM · $448M to $453MMar 26, 2015 to Mar 10, 2016
- Accounts · 240 to 245Mar 26, 2014 to Mar 26, 2015
- Discretionary RAUM · $401M to $448MMar 26, 2014 to Mar 26, 2015
- RAUM · $401M to $448MMar 26, 2014 to Mar 26, 2015
- Accounts · 1,300 to 240Dec 9, 2013 to Mar 26, 2014
- Employees · 10 to 9Dec 9, 2013 to Mar 26, 2014
- Discretionary RAUM · $362M to $401MDec 9, 2013 to Mar 26, 2014
- RAUM · $362M to $401MDec 9, 2013 to Mar 26, 2014
- Accounts · 950 to 1,300Jan 16, 2013 to Mar 14, 2013
- Discretionary RAUM · $304M to $362MJan 16, 2013 to Mar 14, 2013
- RAUM · $304M to $362MJan 16, 2013 to Mar 14, 2013
- Advisory employees · unset to 5.0Sep 12, 2012 to Dec 13, 2012
- Employees · unset to 10.0Sep 12, 2012 to Dec 13, 2012
- State-registered IARs · unset to 5.0Sep 12, 2012 to Dec 13, 2012
- Insurance-licensed employees · unset to 0.0Dec 12, 2011 to Mar 29, 2012
- Discretionary RAUM · $275M to $304MDec 12, 2011 to Mar 29, 2012
- RAUM · $275M to $304MDec 12, 2011 to Mar 29, 2012
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