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
T•• M••••• F••• P••••• C•••••• L••••••
Legal name M•• A•••• M••••••••• P••••• C•••••• L••••••
Latest filing Jun 9, 2014
First filing on the tape Apr 3, 2012 · 3 filings
RAUM
$9.9B
reported, Item 5.F
Discretionary
55%
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
250
30 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$9.9B as of Jun 9, 2014
Apr 3, 2012$8.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 9, 2014
Apr 1, 20130 then
Employees (5.A)250 as of Jun 9, 2014
Apr 1, 2013250 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 9, 2014; 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
- $54.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 55%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 182reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
- C••••••••• K•••••• · Chief Compliance Officercontrolsince 10/2006 · owns less than 5%
Entity owners
- A•••••••• M•• N••••••••• · Chairmandirect · owns less than 5%
- A•••••••• M•• C••••••• · Directordirect · owns less than 5%
- B••••••• M••• P••••••• · First Executive Vice Presidentdirect · owns less than 5%
- B••••••••• M••• J••••••• · First Executive Vice Presidentdirect · owns less than 5%
- C••••••••• M•• W•••••• · Directordirect · owns less than 5%
- C••••••••• M•• B••••••• · Directordirect · owns less than 5%
- K••••••••• M•• T••••••••• · Directordirect · owns less than 5%
- K••••••••• M•• S••••••• · Directordirect · owns less than 5%
- M•••••• M••• R••••••••• · First Executive Vice Presidentdirect · owns less than 5%
- P••••••••• M•• P•••• · Presidentdirect · owns less than 5%
- R••••••••• M•• S•••• · Directordirect · owns less than 5%
- R••••••••• M••• U••• · Directordirect · owns less than 5%
- T••••••••• M•• S•••••• · Directordirect · owns less than 5%
- T••••••••• M•• T•••• · First Executive Vice Presidentdirect · owns less than 5%
- T••••••••• M•• N••••••• · First Executive Vice Presidentdirect · owns less than 5%
- P••••••••• B•••••• · Directordirect · owns less than 5%
- R••••••••• L•••••• · Directordirect · owns less than 5%
- W•••• W••••••••• · Directordirect · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• G•••• S••••••••• P••••• C•••••• L••••••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Bangtalad, Pakkred, Nontaburi Province, Thailand
What changed
consecutive filings, newest first
- Employees · unset to 250.0Apr 3, 2012 to Apr 1, 2013
- Accounts · 181 to 182Apr 3, 2012 to Apr 1, 2013
- Advisory employees · unset to 30.0Apr 3, 2012 to Apr 1, 2013
- State-registered IARs · unset to 0.0Apr 3, 2012 to Apr 1, 2013
- Discretionary RAUM · $8.0B to $5.4BApr 3, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $892M to $4.5BApr 3, 2012 to Apr 1, 2013
- RAUM · $8.9B to $9.9BApr 3, 2012 to Apr 1, 2013
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