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
N•• P••••••• L••
Latest filing Jul 9, 2024
First filing on the tape Dec 22, 2011 · 27 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
50%
of RAUM
Private clients
90%
$908M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
25
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.0B as of Mar 29, 2024
Mar 29, 2012$532M then
HNW client RAUM$908M as of Mar 29, 2024
Mar 27, 2018$484M then
State-registered IARs (5.B.3)3 as of Mar 29, 2024
Mar 29, 20120 then
Employees (5.A)25 as of Mar 29, 2024
Mar 28, 201330 then
Private funds: no history
RAUM +8.1% over the last fiscal year+2.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 9, 2024; every figure names its basis
- RAUM per advisor
- $335MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.2MderivedHNW RAUM over HNW clients
- Average account
- $12.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 50%derivedof RAUM
- Institutional
- 9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%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, selection of other advisersreportedItem 5.G
- Custody
- $508M, 44 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$908M90%
- Charitable organizations$97.0M9.7%
- Individual clients
- n/areported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- 15reported
- Accounts
- 83reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $508M for 44 clientsreported
- 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
Left, latest
- C•••••••• L••••• J•••••• to C••••••Sep 17, 2024 · RIA to RIA
- T•••••• C••••• S••••••• to C••••••Sep 17, 2024 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• S••••• W•••••• · General Counselcontrolsince 06/2024 · owns less than 5%
- E••••• S••••••• C••• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- G•••••• L••••••• L••••••• C•••• · Chief Operating Officercontrolsince 06/2024 · owns less than 5%
- H•••••••• A•••••• M••• · Head Of Solutionscontrolsince 06/2024 · owns less than 5%
- M••••••••• K••• · Chief Executive Officercontrolsince 06/2024 · owns less than 5%
- M•••• A••• · Chief Financial Officercontrolsince 06/2024 · owns less than 5%
- S•••••• J••••• L••• · Chief M•••Eting Officercontrolsince 06/2024 · owns less than 5%
- W•••••• P••••• Y•••• · Head Of Alternativescontrolsince 06/2024 · owns less than 5%
Entity owners
- C•••••• P•••••• W••••• L•• · Ownerdirect · owns 75% or more
- C• F•••••••• C••• · Ownerindirect · owns 75% or more of C•••••• H••••••• I•• · public reporting company
- C•••••• H••••••• I•• · Ownerindirect · owns 75% or more of C•••••• M••••••••• L••
- C•••••• M••••••••• L•• · Ownerindirect · owns 75% or more of C•••••• P••••••• L••
- C•••••• P••••••• L•• · Ownerindirect · owns 75% or more of C•••••• P•••••• W••••• L••
Related persons
Schedule D 7.A
- C••••••investment adviseryRAUM $165B
- N•• F•••••••• L••investment adviserpooled vehicle sponsornRAUM $519M
Advisers that list N•• P••••••• L•• as a related person
- 122268 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Shaker Heights, Oh · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · P•••••• A•••••••• I••• to N•• P••••••• L••May 31, 2024 to Jun 3, 2024
- Legal name · P•••••• A•••••••• I••• to N•• P••••••• L••May 31, 2024 to Jun 3, 2024
- Organization form · Corporation to Limited Liability CompanyMay 31, 2024 to Jun 3, 2024
- Succession · true to falseMay 31, 2024 to Jun 3, 2024
- Succession · false to trueMar 29, 2024 to May 31, 2024
- Accounts · 67 to 83Mar 27, 2023 to Mar 29, 2024
- HNW clients · 61 to 69Mar 27, 2023 to Mar 29, 2024
- Assets in custody · $493M to $508MMar 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $491M to $502MMar 27, 2023 to Mar 29, 2024
- HNW RAUM · $848M to $908MMar 27, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $439M to $503MMar 27, 2023 to Mar 29, 2024
- RAUM · $930M to $1.0BMar 27, 2023 to Mar 29, 2024
- Accounts · 57 to 67Feb 6, 2023 to Mar 27, 2023
- HNW clients · 56 to 61Feb 6, 2023 to Mar 27, 2023
- Assets in custody · $648M to $493MFeb 6, 2023 to Mar 27, 2023
- State-registered IARs · 4 to 3Feb 6, 2023 to Mar 27, 2023
- Discretionary RAUM · $567M to $491MFeb 6, 2023 to Mar 27, 2023
- HNW RAUM · $929M to $848MFeb 6, 2023 to Mar 27, 2023
- Non-discretionary RAUM · $434M to $439MFeb 6, 2023 to Mar 27, 2023
- RAUM · $1.0B to $930MFeb 6, 2023 to Mar 27, 2023
- Accounts · 75 to 57Mar 26, 2021 to Mar 28, 2022
- Charity clients · 12 to 15Mar 26, 2021 to Mar 28, 2022
- Assets in custody · $561M to $648MMar 26, 2021 to Mar 28, 2022
- State-registered IARs · 5 to 4Mar 26, 2021 to Mar 28, 2022
- Discretionary RAUM · $535M to $567MMar 26, 2021 to Mar 28, 2022
- HNW RAUM · $850M to $929MMar 26, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $391M to $434MMar 26, 2021 to Mar 28, 2022
- RAUM · $926M to $1.0BMar 26, 2021 to Mar 28, 2022
- Accounts · 74 to 75Jun 24, 2020 to Mar 26, 2021
- Charity clients · 7 to 12Jun 24, 2020 to Mar 26, 2021
- HNW clients · 57 to 56Jun 24, 2020 to Mar 26, 2021
- Assets in custody · $654M to $561MJun 24, 2020 to Mar 26, 2021
- Discretionary RAUM · $578M to $535MJun 24, 2020 to Mar 26, 2021
- HNW RAUM · $843M to $850MJun 24, 2020 to Mar 26, 2021
- Non-discretionary RAUM · $368M to $391MJun 24, 2020 to Mar 26, 2021
- RAUM · $945M to $926MJun 24, 2020 to Mar 26, 2021
- Accounts · 68 to 74Mar 27, 2019 to Mar 25, 2020
- Charity clients · 5 to 7Mar 27, 2019 to Mar 25, 2020
- HNW clients · 55 to 57Mar 27, 2019 to Mar 25, 2020
- Assets in custody · $424M to $654MMar 27, 2019 to Mar 25, 2020
Signals
21 dated events
- T•••••• C••••• S••••••• left N•• P••••••• L•• for C•••••• (registered 2024-07-15)Sep 17, 2024 · Advisor changed firm · fact
- 2 advisors left N•• P••••••• L•• (Shaker Heights, OH) for C•••••• on the same daySep 17, 2024 · Team lift-out · derived
- C•••••••• L••••• J•••••• left N•• P••••••• L•• for C•••••• (registered 2024-07-16)Sep 17, 2024 · Advisor changed firm · fact
- Louise Christine Jemison (Co-President & Treasurer) no longer on Schedule A of N•• P••••••• L•• (listed 2024-06-03, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Conway Terence Sullivan (Co-President & Secretary) no longer on Schedule A of N•• P••••••• L•• (listed 2024-06-03, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Marie Susanne Powers (Chief Operating Officer) no longer on Schedule A of N•• P••••••• L•• (listed 2024-06-03, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Finley Joanne Stegmoyer (Senior Vice President & Assistant Secretary) no longer on Schedule A of N•• P••••••• L•• (listed 2024-06-03, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- J••••• T••••• A•••••• (Senior Vice President & Assistant Treasurer) no longer on Schedule A of N•• P••••••• L•• (listed 2024-06-03, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Chad Stephen Estep (Chief Compliance Officer) appeared on Schedule A of N•• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Yoshi Peter Watson (Head Of Alternatives) appeared on Schedule A of N•• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Kurt Macalpine (Chief Executive Officer) appeared on Schedule A of N•• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Amit Muni (Chief Financial Officer) appeared on Schedule A of N•• P••••••• L••Jun 28, 2024 · Control person joined · fact
- William Scott Akins (General Counsel) appeared on Schedule A of N•• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Lawrence Curle Leonard Gullan (Chief Operating Officer) appeared on Schedule A of N•• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Mark Andrew Holmberg (Head Of Solutions) appeared on Schedule A of N•• P••••••• L••Jun 28, 2024 · Control person joined · fact
- Lynn Julie Silcox (Chief Marketing Officer) appeared on Schedule A of N•• P••••••• L••Jun 28, 2024 · Control person joined · fact
- P•••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 31, 2024 · Succession (Item 4) · fact
- Finley Joanne Stegmoyer (Senior Vice President & Assistant Secretary) appeared on Schedule A of N•• P••••••• L••Feb 6, 2023 · Control person joined · fact
- J••••• T••••• A•••••• (Senior Vice President & Assistant Treasurer) appeared on Schedule A of N•• P••••••• L••Feb 6, 2023 · Control person joined · fact
- N•• P••••••• L•• reported RAUM $945.2M, up 53% from $618.0M (2019-03-27 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- N•• P••••••• L•• reported RAUM $546.0M, up 31% from $417.0M (2017-03-28 to 2018-03-27)Mar 27, 2018 · 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