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
Q••••••• C•••••• M••••••••• L••
Latest filing Feb 10, 2020
First filing on the tape Mar 7, 2012 · 23 filings
RAUM
$599M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$597M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$599M as of Feb 10, 2020
Mar 7, 2012$249M then
HNW client RAUM$580M as of Feb 10, 2020
Mar 15, 2018$465M then
State-registered IARs (5.B.3)5 as of Feb 10, 2020
Mar 7, 20120 then
Employees (5.A)11 as of Feb 10, 2020
Mar 22, 20138 then
Private funds: no history
RAUM +25% over the last fiscal year+13% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 10, 2020; every figure names its basis
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $878,087derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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
- High-net-worth individuals$580M97%
- Individuals$16.5M2.8%
- Corporations and businesses$2.0M0.3%
- Individual clients
- 32reported
- HNW clients
- 127reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 682reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- T••••• K•••• V••••• to S•••••••• F••••••••• I•••Jul 22, 2013 · Other
Joined, latest
- T••••• K•••• V••••• from F•••••••• E••••• S•••••••• I•••Aug 12, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• J•••••• · Chairman & Chief Investment Officercontrolsince 01/2001 · owns less than 5%
- K••••••• J••••• E••••• · Presidentcontrolsince 02/2019 · owns less than 5%
- A•••••••• K••••• J•••••• · Chief Compliance Officersince 02/2019 · owns less than 5%
Entity owners
- P••••••••• B••• · Single Memberdirect · owns 75% or more
- P••••••••• F•••••••• C••••••••• · Shareholderindirect · owns 75% or more of P••••••••• B••• · public reporting company
Related persons
Schedule D 7.A
- L••••• W••••••investment advisernRAUM $617M
- M••••• C•••••• M••••••••• I••investment advisernRAUM $1.2B
- P••••••••• B•••y
- P••••••••• M••••••• G•••• I••n
- P•• T•••• • I••••••••• O• D•••••••n
- P•••• V••• W••••• M••••••••• I•••investment advisernRAUM $393M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 626 to 682Sep 11, 2019 to Feb 10, 2020
- HNW clients · 119 to 127Sep 11, 2019 to Feb 10, 2020
- Discretionary RAUM · $477M to $597MSep 11, 2019 to Feb 10, 2020
- HNW RAUM · $464M to $580MSep 11, 2019 to Feb 10, 2020
- Individual RAUM · $12.4M to $16.5MSep 11, 2019 to Feb 10, 2020
- Non-discretionary RAUM · $1.2M to $1.4MSep 11, 2019 to Feb 10, 2020
- RAUM · $479M to $599MSep 11, 2019 to Feb 10, 2020
- Employees · 10 to 11Mar 19, 2019 to May 21, 2019
- Accounts · 606 to 626Sep 24, 2018 to Mar 19, 2019
- HNW clients · 112 to 119Sep 24, 2018 to Mar 19, 2019
- Individual clients · 31 to 32Sep 24, 2018 to Mar 19, 2019
- Employees · 11 to 10Sep 24, 2018 to Mar 19, 2019
- Discretionary RAUM · $477M to $477MSep 24, 2018 to Mar 19, 2019
- HNW RAUM · $465M to $464MSep 24, 2018 to Mar 19, 2019
- Individual RAUM · $11.5M to $12.4MSep 24, 2018 to Mar 19, 2019
- Non-discretionary RAUM · $1.3M to $1.2MSep 24, 2018 to Mar 19, 2019
- RAUM · $479M to $479MSep 24, 2018 to Mar 19, 2019
- Advisory employees · 4 to 6Jun 5, 2018 to Jul 30, 2018
- Employees · 8 to 11Jun 5, 2018 to Jul 30, 2018
- State-registered IARs · 4 to 5Jun 5, 2018 to Jul 30, 2018
- Employees · 7 to 8Mar 15, 2018 to Jun 5, 2018
- Accounts · 562 to 606Nov 29, 2017 to Mar 15, 2018
- Advisory employees · 5 to 4Nov 29, 2017 to Mar 15, 2018
- HNW clients · unset to 112.0Nov 29, 2017 to Mar 15, 2018
- Individual clients · unset to 31.0Nov 29, 2017 to Mar 15, 2018
- Employees · 8 to 7Nov 29, 2017 to Mar 15, 2018
- Discretionary RAUM · $413M to $477MNov 29, 2017 to Mar 15, 2018
- HNW RAUM · unset to 465225648.0Nov 29, 2017 to Mar 15, 2018
- Individual RAUM · unset to 11501362.0Nov 29, 2017 to Mar 15, 2018
- Non-discretionary RAUM · $1.5M to $1.3MNov 29, 2017 to Mar 15, 2018
- RAUM · $414M to $479MNov 29, 2017 to Mar 15, 2018
- Other offices · unset to 0.0Mar 16, 2017 to Nov 29, 2017
- Related adviser · false to trueMar 16, 2017 to Nov 29, 2017
- Accounts · 515 to 562Jun 8, 2016 to Mar 16, 2017
- Discretionary RAUM · $384M to $413MJun 8, 2016 to Mar 16, 2017
- Non-discretionary RAUM · $1.4M to $1.5MJun 8, 2016 to Mar 16, 2017
- RAUM · $386M to $414MJun 8, 2016 to Mar 16, 2017
- Advisory employees · 6 to 5Mar 4, 2016 to Jun 8, 2016
- Employees · 9 to 8Mar 4, 2016 to Jun 8, 2016
- Accounts · 462 to 515Mar 4, 2015 to Mar 4, 2016
Signals
1 dated events
- Q••••••• C•••••• M••••••••• L•• reported RAUM $598.9M, up 25% from $478.6M (2019-09-11 to 2020-02-10)Feb 10, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Q••••••• C•••••• M••••••••• L•• · Private Equityshared crd · intermediary
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