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
M•••••• I••••••••• H•••••••• I••
Latest filing Mar 28, 2019
First filing on the tape Mar 21, 2012 · 20 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
84
33 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$0 as of Mar 23, 2016
Mar 21, 2012$0 then
HNW client RAUM$0 as of Mar 28, 2019
Mar 26, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 28, 2019
Mar 21, 20120 then
Employees (5.A)84 as of Mar 28, 2019
Mar 19, 201375 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 33 to 2offices 1 to 3
Practice profile
derived from the filing of Mar 28, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 42.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -94%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- otherreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- 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
- J•••••• E••••• S••••••••• to M•••••• I••••••••• A•••••••• L••Dec 31, 2011 · Other
- S••••• A•••• C••• to N•••••••• C•••••• M••••••••• L••Dec 31, 2011 · Other
- B•••• J••• C••••• to M•••••• I••••••••• A•••••••• L••Apr 6, 2011 · Other
- B•••••• A•••• O••••• to R••••••• V•••• P•••••••• L••Apr 18, 2008 · Other
- T•••••• M••• B•••• to S••••••• P•••••••Feb 15, 2008 · Other
Joined, latest
- S••••• A•••• C••• from S••••• C•••••• M••••••••• I••Aug 13, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• F••••• E••••• · Shareholder And Chairman Of The Board Of Directorscontrolsince 01/1974 · owns 50% to 75%
- C•••• S•••••• A•••• · Chief Business Development Officer And Member Of The Board Of Directorscontrolsince 01/2014 · owns less than 5%
- D••••••• E••••••••• A••• · Chief Operating Officercontrolsince 01/2018 · owns less than 5%
- E•••••••• R••••••• A•••• · Vice President, Head Of Equities And Member Of The Board Of Directorscontrolsince 11/2018 · owns less than 5%
- F••••• K••••••••• L••••• · Member Of The Board Of Directorscontrolsince 06/2008 · owns less than 5%
- F••••••••• S•••••• J••••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- H••••••••• M•••• D••• · Chief Financial Officercontrolsince 01/2018 · owns less than 5%
- L•••••••• P•••• A•••••• · Chief Executive Officer And Member Of The Board Of Directorscontrolsince 10/2017 · owns less than 5%
- T•••••••• K••••• S••• · Chief Legal Officer And Chief Administrative Officercontrolsince 05/2018 · owns less than 5%
Entity owners
- M•••••• I••••••••• A•••••••• I••• E••••••• S•••• O•••••••• P••• ••••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- H••••••••• G••••• I••••••••• L•investment adviseryRAUM $407M
- M•••••• A•••• M•••••••••investment adviseryRAUM $4.9B
- M•••••• I••••••••• A•••••••• L••investment adviseryRAUM $14B
- M•• D••••••••• L••broker-dealery
Advisers that list M•••••• I••••••••• H•••••••• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ5 employees
- Toronto, Canada4 employees
What changed
consecutive filings, newest first
- Advisory employees · 35 to 33Nov 19, 2018 to Mar 28, 2019
- BD registered reps · 20 to 21Nov 19, 2018 to Mar 28, 2019
- Employees · 83 to 84Nov 19, 2018 to Mar 28, 2019
- Insurance-licensed employees · 33 to 34Nov 19, 2018 to Mar 28, 2019
- State-registered IARs · 33 to 2Nov 19, 2018 to Mar 28, 2019
- Other offices · 1 to 3Nov 19, 2018 to Mar 28, 2019
- Charity clients · unset to 0.0Apr 24, 2017 to Mar 26, 2018
- Corporate clients · unset to 0.0Apr 24, 2017 to Mar 26, 2018
- HNW clients · unset to 0.0Apr 24, 2017 to Mar 26, 2018
- Individual clients · unset to 0.0Apr 24, 2017 to Mar 26, 2018
- Pension plan clients · unset to 0.0Apr 24, 2017 to Mar 26, 2018
- Pooled vehicle clients · unset to 0.0Apr 24, 2017 to Mar 26, 2018
- Employees · 84 to 83Apr 24, 2017 to Mar 26, 2018
- Insurance-licensed employees · 25 to 33Apr 24, 2017 to Mar 26, 2018
- State-registered IARs · 25 to 33Apr 24, 2017 to Mar 26, 2018
- Other offices · unset to 1.0Apr 24, 2017 to Mar 26, 2018
- HNW RAUM · unset to 0.0Apr 24, 2017 to Mar 26, 2018
- Individual RAUM · unset to 0.0Apr 24, 2017 to Mar 26, 2018
- Pension RAUM · unset to 0.0Apr 24, 2017 to Mar 26, 2018
- Pooled vehicle RAUM · unset to 0.0Apr 24, 2017 to Mar 26, 2018
- Accounts · 0.0 to unsetMar 23, 2016 to Mar 28, 2017
- BD registered reps · 22 to 20Mar 23, 2016 to Mar 28, 2017
- Employees · 86 to 84Mar 23, 2016 to Mar 28, 2017
- Insurance-licensed employees · 13 to 25Mar 23, 2016 to Mar 28, 2017
- State-registered IARs · 13 to 25Mar 23, 2016 to Mar 28, 2017
- Discretionary RAUM · 0.0 to unsetMar 23, 2016 to Mar 28, 2017
- Non-discretionary RAUM · 0.0 to unsetMar 23, 2016 to Mar 28, 2017
- RAUM · 0.0 to unsetMar 23, 2016 to Mar 28, 2017
- Advisory employees · 30 to 35Jan 25, 2016 to Mar 23, 2016
- BD registered reps · 20 to 22Jan 25, 2016 to Mar 23, 2016
- Employees · 75 to 86Jan 25, 2016 to Mar 23, 2016
- Insurance-licensed employees · 28 to 13Jan 25, 2016 to Mar 23, 2016
- State-registered IARs · 2 to 13Jan 25, 2016 to Mar 23, 2016
- Advisory employees · unset to 30.0Sep 5, 2012 to Nov 16, 2012
- BD registered reps · unset to 20.0Sep 5, 2012 to Nov 16, 2012
- Employees · unset to 75.0Sep 5, 2012 to Nov 16, 2012
- State-registered IARs · 0 to 2Sep 5, 2012 to Nov 16, 2012
Signals
1 dated events
- M•••••• I••••••••• H•••••••• I•• reported 2 state-registered advisory representatives, down from 33 (2018-11-19 to 2019-03-28)Mar 28, 2019 · Advisor headcount 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