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
L••••• A•••• F•••••••• S••••••• • S•••••••
Latest filing Mar 20, 2017
First filing on the tape Mar 16, 2012 · 9 filings
RAUM
$692M
reported, Item 5.F
Discretionary
99%
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
8
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$692M as of Mar 20, 2017
Mar 16, 2012$552M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2017
Mar 16, 20120 then
Employees (5.A)8 as of Mar 20, 2017
Mar 18, 20138 then
Private funds: no history
RAUM +4.3% over the last fiscal year+1.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2017; 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
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- +4.3%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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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)
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
- 321reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- K•••••••• P•••••••• S•••••• to H••••••••• L••Jun 2, 2017 · Other
- P•••• W•••••• M•••••• to H••••••••• L••Jun 2, 2017 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for H••••••••• L••Jun 2, 2017 · Santa Monica, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• P••••• W•••••• · Presidentcontrolsince 03/2012 · owns less than 5%
- M••••••• P••••• W•••••• · Shareholdercontrolsince 04/2006 · owns 75% or more of H•••• C•••.
Entity owners
- H•••• C••• · Shareholderdirect · owns 75% or more
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 · 326 to 321Mar 14, 2016 to Mar 20, 2017
- Discretionary RAUM · $655M to $683MMar 14, 2016 to Mar 20, 2017
- Non-discretionary RAUM · $8.5M to $9.2MMar 14, 2016 to Mar 20, 2017
- RAUM · $663M to $692MMar 14, 2016 to Mar 20, 2017
- Accounts · 317 to 326Mar 6, 2015 to Mar 14, 2016
- Discretionary RAUM · $694M to $655MMar 6, 2015 to Mar 14, 2016
- Non-discretionary RAUM · $7.5M to $8.5MMar 6, 2015 to Mar 14, 2016
- RAUM · $701M to $663MMar 6, 2015 to Mar 14, 2016
- Accounts · 313 to 317Mar 7, 2014 to Mar 6, 2015
- Discretionary RAUM · $652M to $694MMar 7, 2014 to Mar 6, 2015
- Non-discretionary RAUM · $7.5M to $7.5MMar 7, 2014 to Mar 6, 2015
- RAUM · $659M to $701MMar 7, 2014 to Mar 6, 2015
- Accounts · 314 to 313Mar 19, 2013 to Mar 4, 2014
- Discretionary RAUM · $587M to $652MMar 19, 2013 to Mar 4, 2014
- Non-discretionary RAUM · $12.7M to $7.5MMar 19, 2013 to Mar 4, 2014
- RAUM · $600M to $659MMar 19, 2013 to Mar 4, 2014
- Accounts · 292 to 314Apr 2, 2012 to Mar 18, 2013
- Advisory employees · unset to 4.0Apr 2, 2012 to Mar 18, 2013
- Employees · unset to 8.0Apr 2, 2012 to Mar 18, 2013
- Discretionary RAUM · $453M to $587MApr 2, 2012 to Mar 18, 2013
- Non-discretionary RAUM · $98.9M to $12.7MApr 2, 2012 to Mar 18, 2013
- RAUM · $552M to $600MApr 2, 2012 to Mar 18, 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