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
A•••• A••••••••• A••••••• I••
Latest filing Aug 15, 2016
First filing on the tape Feb 29, 2012 · 6 filings
RAUM
$155M
reported, Item 5.F
Discretionary
82%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$155M as of Aug 15, 2016
Aug 7, 2012$139M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 15, 2016
Aug 7, 20120 then
Employees (5.A)3 as of Aug 15, 2016
Aug 21, 20133 then
Private funds: no history
RAUM -2.4% over the last fiscal year+0.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 15, 2016; every figure names its basis
- RAUM per advisor
- $77.4MderivedRAUM 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
- $341,931derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.4%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
- portfolio management for individualsreportedItem 5.G
- 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
- 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
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
- 453reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• B••••• D•••••• · Secretary & Vice Presidentcontrolsince 09/1987 · owns 50% to 75%
- S••••••• G••••••• E••••• · President, Treasurer & Chief Compliance Officercontrolsince 09/1987 · 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 · 465 to 453Aug 7, 2015 to Aug 15, 2016
- Discretionary RAUM · $133M to $128MAug 7, 2015 to Aug 15, 2016
- Non-discretionary RAUM · $25.3M to $27.1MAug 7, 2015 to Aug 15, 2016
- RAUM · $159M to $155MAug 7, 2015 to Aug 15, 2016
- Accounts · 470 to 465Aug 12, 2014 to Aug 7, 2015
- Discretionary RAUM · $140M to $133MAug 12, 2014 to Aug 7, 2015
- Non-discretionary RAUM · $30.3M to $25.3MAug 12, 2014 to Aug 7, 2015
- RAUM · $171M to $159MAug 12, 2014 to Aug 7, 2015
- Accounts · 465 to 470Aug 21, 2013 to Aug 12, 2014
- Discretionary RAUM · $125M to $140MAug 21, 2013 to Aug 12, 2014
- Non-discretionary RAUM · $26.0M to $30.3MAug 21, 2013 to Aug 12, 2014
- RAUM · $151M to $171MAug 21, 2013 to Aug 12, 2014
- Accounts · 458 to 465Aug 7, 2012 to Aug 21, 2013
- Advisory employees · unset to 2.0Aug 7, 2012 to Aug 21, 2013
- BD registered reps · unset to 2.0Aug 7, 2012 to Aug 21, 2013
- Employees · unset to 3.0Aug 7, 2012 to Aug 21, 2013
- State-registered IARs · 0 to 2Aug 7, 2012 to Aug 21, 2013
- Discretionary RAUM · $118M to $125MAug 7, 2012 to Aug 21, 2013
- Non-discretionary RAUM · $21.7M to $26.0MAug 7, 2012 to Aug 21, 2013
- RAUM · $139M to $151MAug 7, 2012 to Aug 21, 2013
- Accounts · 456 to 458Feb 29, 2012 to Aug 7, 2012
- Discretionary RAUM · $112M to $118MFeb 29, 2012 to Aug 7, 2012
- Non-discretionary RAUM · $19.6M to $21.7MFeb 29, 2012 to Aug 7, 2012
- RAUM · $132M to $139MFeb 29, 2012 to Aug 7, 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