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.

Former SEC-registered adviser

Prudent Man Advisors, Inc.

Former SEC-registered adviserNaperville, IllinoisCRD 110022SEC 801-61312IAPD
Latest filing Mar 18, 2019
First filing on the tape Nov 22, 2011 · 16 filings
RAUM
$6.2B
reported, Item 5.F
Discretionary
99%
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
46
39 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$6.2B as of Mar 18, 2019
Mar 28, 2012$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)20 as of Mar 18, 2019
Mar 28, 20138 then
Employees (5.A)46 as of Mar 18, 2019
Mar 28, 201316 then
Private funds: no history
RAUM -1.3% over the last fiscal year+12% a year over threeIARs 21 to 20
Practice profile
derived from the filing of Mar 18, 2019; every figure names its basis
RAUM per advisor
$310MderivedRAUM 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
$126MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.3derived6 offices incl. principal (1.F.5)
RAUM growth, one year
-1.3%derivedbetween the last two annual amendments
Advisor growth, one year
-4.8%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$5.4B, 6 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$5.4B87%
  • State and municipal entities$703M11%
  • Insurance companies$130M2.1%
  • Corporations and businesses$667,0810.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
49reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$5.4B for 6 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Oneill James Davis · Chief Executive Officercontrol
      since 03/2012 · owns less than 5%
    • Anne Elizabeth English · Director And Trustee Of The Elizabeth A. English Trust Agreementcontrol
      since 11/1998 · owns 25% to 50%
    • Felice Mary English · Director And Trustee Of The Mary Felice English Declaration Of Trust Dated 12/1/92control
      since 09/1996 · owns less than 5%
    • Robert Michael English · Director And Trustee Of The Michael Robert English Revocable Trust Dated 2/14/2001control
      since 09/1996 · owns 50% to 75%
    • John Robert English · Chairman, Director And Trustee Of The Robert John English Declaration Of Trust Dated 12/1/92control
      since 09/1996 · owns less than 5%
    • Ann Lori Ragus · Chief Compliance Officer And General Counselcontrol
      since 03/2011 · owns less than 5%
    • Ray Jonathan Martens · Financial And Operations Principal
      since 10/2012 · owns less than 5%
    Entity owners
    • Elizabeth A. English Trust Agreement Dated July 10, 2009 · Shareholder
      direct · owns 25% to 50%
    • Mary Felice English Declaration Of Trust Dated 12/1/92 · Shareholder
      direct · owns less than 5%
    • Michael Robert English Revocable Trust Dated 2/14/2001 · Shareholder
      direct · owns 50% to 75%
    • Robert John English Declaration Of Trust Dated 12/1/92 · Shareholder
      direct · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • St. Louis Park, MN6 employees
    • Milwaukee, WI4 employees
    • Albertville, MN3 employees
    • Des Moines, IA2 employees
    • Orlando, FL1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 46 to 49
      Nov 28, 2018 to Mar 18, 2019
    • Advisory employees · 26 to 39
      Nov 28, 2018 to Mar 18, 2019
    • Corporate clients · unset to 1.0
      Nov 28, 2018 to Mar 18, 2019
    • Pooled vehicle clients · 5 to 6
      Nov 28, 2018 to Mar 18, 2019
    • Assets in custody · $5.4B to $5.4B
      Nov 28, 2018 to Mar 18, 2019
    • Employees · 47 to 46
      Nov 28, 2018 to Mar 18, 2019
    • State-registered IARs · 21 to 20
      Nov 28, 2018 to Mar 18, 2019
    • Discretionary RAUM · $6.2B to $6.1B
      Nov 28, 2018 to Mar 18, 2019
    • Non-discretionary RAUM · $56.0M to $56.7M
      Nov 28, 2018 to Mar 18, 2019
    • Pooled vehicle RAUM · $5.4B to $5.4B
      Nov 28, 2018 to Mar 18, 2019
    • RAUM · $6.3B to $6.2B
      Nov 28, 2018 to Mar 18, 2019
    • Accounts · 37 to 46
      Mar 31, 2017 to Mar 29, 2018
    • Advisory employees · 28 to 26
      Mar 31, 2017 to Mar 29, 2018
    • BD registered reps · 23 to 36
      Mar 31, 2017 to Mar 29, 2018
    • Pooled vehicle clients · unset to 5.0
      Mar 31, 2017 to Mar 29, 2018
    • Assets in custody · $4.6B to $5.4B
      Mar 31, 2017 to Mar 29, 2018
    • Employees · 31 to 47
      Mar 31, 2017 to Mar 29, 2018
    • State-registered IARs · 22 to 21
      Mar 31, 2017 to Mar 29, 2018
    • Other offices · unset to 5.0
      Mar 31, 2017 to Mar 29, 2018
    • Discretionary RAUM · $5.2B to $6.2B
      Mar 31, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $19.1M to $56.0M
      Mar 31, 2017 to Mar 29, 2018
    • Pooled vehicle RAUM · unset to 5379475119.0
      Mar 31, 2017 to Mar 29, 2018
    • RAUM · $5.2B to $6.3B
      Mar 31, 2017 to Mar 29, 2018
    • Accounts · 30 to 37
      Mar 30, 2016 to Mar 31, 2017
    • BD registered reps · 25 to 23
      Mar 30, 2016 to Mar 31, 2017
    • Assets in custody · $3.9B to $4.6B
      Mar 30, 2016 to Mar 31, 2017
    • State-registered IARs · 25 to 22
      Mar 30, 2016 to Mar 31, 2017
    • Discretionary RAUM · $4.4B to $5.2B
      Mar 30, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $15.0M to $19.1M
      Mar 30, 2016 to Mar 31, 2017
    • RAUM · $4.4B to $5.2B
      Mar 30, 2016 to Mar 31, 2017
    • Accounts · 22 to 30
      Jan 29, 2016 to Mar 30, 2016
    • Advisory employees · 12 to 28
      Jan 29, 2016 to Mar 30, 2016
    • BD registered reps · 16 to 25
      Jan 29, 2016 to Mar 30, 2016
    • Assets in custody · $2.7B to $3.9B
      Jan 29, 2016 to Mar 30, 2016
    • Employees · 27 to 31
      Jan 29, 2016 to Mar 30, 2016
    • State-registered IARs · 20 to 25
      Jan 29, 2016 to Mar 30, 2016
    • Discretionary RAUM · $2.9B to $4.4B
      Jan 29, 2016 to Mar 30, 2016
    • Non-discretionary RAUM · $28.7M to $15.0M
      Jan 29, 2016 to Mar 30, 2016
    • RAUM · $2.9B to $4.4B
      Jan 29, 2016 to Mar 30, 2016
    • Accounts · 8 to 22
      Mar 28, 2014 to Mar 31, 2015
    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