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
P•••••• C•••••• M••••••••• I••
Latest filing Mar 14, 2019
First filing on the tape Mar 28, 2012 · 8 filings
RAUM
$412M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$412M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$412M as of Mar 14, 2019
Mar 28, 2012$754M then
HNW client RAUM$412M as of Mar 14, 2019
Mar 23, 2018$409M then
State-registered IARs (5.B.3)0 as of Mar 14, 2019
Mar 28, 20120 then
Employees (5.A)6 as of Mar 14, 2019
Mar 27, 20139 then
Private funds5 as of Mar 24, 2014
Mar 28, 20127 then
RAUM +0.6% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $58.8MderivedHNW RAUM over HNW clients
- Average account
- $29.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $396M, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$412M100%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $396M for 6 clientsreported
- Compensation
- % of AUM, 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
none on the tape
Joined, latest
none on the tape
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• C••••••••• L••no longer reported | Private Equity Fund | $101M | 58 | Mar 28, 2012 |
| P•••••••• I••••••••• C••••••• L••no longer reported | Private Equity Fund | $24.2M | 38 | Mar 28, 2012 |
| S••• P•••••••• L••no longer reported | Private Equity Fund | $18.9M | 53 | Mar 28, 2012 |
| A••••••• W•• T••••••••• L••no longer reported | Private Equity Fund | $16.3M | 44 | Mar 28, 2012 |
| B• I••••••••• C••••••• L••no longer reported | Private Equity Fund | $13.7M | 39 | Mar 28, 2012 |
| R••••••• P••••••• S•••••••• L••no longer reported | Private Equity Fund | $13.6M | 39 | Mar 28, 2012 |
| M••••• E••••••• I••••••••• C••••••• L••no longer reported | Private Equity Fund | $1.3M | 11 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P•••••••• W••••••• C••• · Chairman, Chief Executive Officercontrolsince 01/1999 · owns 50% to 75%
- R••••••••• C•••••• G••••••• · Chief Compliance Officercontrolsince 01/1999 · owns 50% to 75%
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 · 17 to 14Mar 23, 2018 to Mar 14, 2019
- HNW clients · 6 to 7Mar 23, 2018 to Mar 14, 2019
- Assets in custody · $409M to $396MMar 23, 2018 to Mar 14, 2019
- Discretionary RAUM · $409M to $412MMar 23, 2018 to Mar 14, 2019
- HNW RAUM · $409M to $412MMar 23, 2018 to Mar 14, 2019
- RAUM · $409M to $412MMar 23, 2018 to Mar 14, 2019
- HNW clients · unset to 6.0Mar 22, 2017 to Mar 23, 2018
- Assets in custody · $406M to $409MMar 22, 2017 to Mar 23, 2018
- Employees · 5 to 6Mar 22, 2017 to Mar 23, 2018
- HQ city · EAGAN to BURNSVILLEMar 22, 2017 to Mar 23, 2018
- Other offices · unset to 0.0Mar 22, 2017 to Mar 23, 2018
- Discretionary RAUM · $406M to $409MMar 22, 2017 to Mar 23, 2018
- HNW RAUM · unset to 409307767.0Mar 22, 2017 to Mar 23, 2018
- RAUM · $406M to $409MMar 22, 2017 to Mar 23, 2018
- Accounts · 28 to 17Mar 8, 2016 to Mar 22, 2017
- Advisory activities · 2 to 1Mar 8, 2016 to Mar 22, 2017
- Assets in custody · $305M to $406MMar 8, 2016 to Mar 22, 2017
- Employees · 6 to 5Mar 8, 2016 to Mar 22, 2017
- Discretionary RAUM · $728M to $406MMar 8, 2016 to Mar 22, 2017
- RAUM · $728M to $406MMar 8, 2016 to Mar 22, 2017
- Accounts · 19 to 28Mar 25, 2015 to Mar 8, 2016
- Assets in custody · $301M to $305MMar 25, 2015 to Mar 8, 2016
- Employees · 5 to 6Mar 25, 2015 to Mar 8, 2016
- Discretionary RAUM · $726M to $728MMar 25, 2015 to Mar 8, 2016
- RAUM · $726M to $728MMar 25, 2015 to Mar 8, 2016
- Accounts · 24 to 19Mar 24, 2014 to Mar 25, 2015
- Advisory employees · 2 to 1Mar 24, 2014 to Mar 25, 2015
- Advisory activities · 4 to 2Mar 24, 2014 to Mar 25, 2015
- Assets in custody · $432M to $301MMar 24, 2014 to Mar 25, 2015
- Employees · 10 to 5Mar 24, 2014 to Mar 25, 2015
- Private funds · 5 to unsetMar 24, 2014 to Mar 25, 2015
- Discretionary RAUM · $811M to $726MMar 24, 2014 to Mar 25, 2015
- RAUM · $811M to $726MMar 24, 2014 to Mar 25, 2015
- Accounts · 45 to 24Mar 27, 2013 to Mar 24, 2014
- Assets in custody · $448M to $432MMar 27, 2013 to Mar 24, 2014
- Employees · 9 to 10Mar 27, 2013 to Mar 24, 2014
- Private funds · 6 to 5Mar 27, 2013 to Mar 24, 2014
- Discretionary RAUM · $795M to $811MMar 27, 2013 to Mar 24, 2014
- RAUM · $795M to $811MMar 27, 2013 to Mar 24, 2014
- Accounts · 47 to 45Mar 28, 2012 to Mar 27, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- P•••••• C•••••• M••••••••• I•• · Private Equityshared crd · organization
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