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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SEC-registered adviser
T•••••• C•••••• I••••••••
Latest filing Mar 16, 2026
First filing on the tape Mar 26, 2012 · 18 filings
SEC status approved since Feb 18, 2000
RAUM
$458M
reported, Item 5.F
Discretionary
100%
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$458M as of Mar 16, 2026
May 2, 2012$419M then
HNW client RAUM$599,536 as of Mar 17, 2022
Mar 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 18, 20130 then
Employees (5.A)2 as of Mar 16, 2026
Mar 18, 20131 then
Private funds: no history
RAUM -2.9% over the last fiscal year+1.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2026; 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
- $12.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 23%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
- -2.9%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- 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
- Pooled investment vehicles$233M68%
- State and municipal entities$103M30%
- Charitable organizations$4.2M1.2%
- Corporations and businesses$247,8120.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 37reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.51 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
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
- W•••••• J••••••• S•••• · Chief Compliance Officersince 08/2008 · owns less than 5%
Entity owners
- W•••••• J•••••• S•••• · Presidentdirect · 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 · 44 to 37Mar 19, 2025 to Mar 16, 2026
- Pooled vehicle clients · 9 to 8Mar 19, 2025 to Mar 16, 2026
- Discretionary RAUM · $472M to $458MMar 19, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $245M to $233MMar 19, 2025 to Mar 16, 2026
- RAUM · $472M to $458MMar 19, 2025 to Mar 16, 2026
- Accounts · 45 to 44Mar 13, 2024 to Mar 19, 2025
- Corporate clients · unset to 1.0Mar 13, 2024 to Mar 19, 2025
- Pooled vehicle clients · 11 to 9Mar 13, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Mar 19, 2025
- Discretionary RAUM · $468M to $472MMar 13, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $216M to $245MMar 13, 2024 to Mar 19, 2025
- RAUM · $468M to $472MMar 13, 2024 to Mar 19, 2025
- Accounts · 26 to 45Mar 24, 2023 to Mar 13, 2024
- Advisory activities · 2 to 3Mar 24, 2023 to Mar 13, 2024
- Corporate clients · 5.0 to unsetMar 24, 2023 to Mar 13, 2024
- Pooled vehicle clients · unset to 11.0Mar 24, 2023 to Mar 13, 2024
- Discretionary RAUM · $437M to $468MMar 24, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $0 to $216MMar 24, 2023 to Mar 13, 2024
- RAUM · $437M to $468MMar 24, 2023 to Mar 13, 2024
- Accounts · 25 to 26Mar 17, 2022 to Mar 24, 2023
- HNW clients · 1.0 to unsetMar 17, 2022 to Mar 24, 2023
- Discretionary RAUM · $448M to $437MMar 17, 2022 to Mar 24, 2023
- HNW RAUM · 599536.0 to unsetMar 17, 2022 to Mar 24, 2023
- RAUM · $448M to $437MMar 17, 2022 to Mar 24, 2023
- Accounts · 24 to 25Mar 25, 2021 to Mar 17, 2022
- Advisory employees · 1 to 2Mar 25, 2021 to Mar 17, 2022
- Charity clients · unset to 3.0Mar 25, 2021 to Mar 17, 2022
- Corporate clients · unset to 5.0Mar 25, 2021 to Mar 17, 2022
- HNW clients · unset to 1.0Mar 25, 2021 to Mar 17, 2022
- Discretionary RAUM · $437M to $448MMar 25, 2021 to Mar 17, 2022
- HNW RAUM · $582,151 to $599,536Mar 25, 2021 to Mar 17, 2022
- RAUM · $437M to $448MMar 25, 2021 to Mar 17, 2022
- Accounts · 49 to 24Jun 29, 2020 to Mar 25, 2021
- Discretionary RAUM · $500M to $437MJun 29, 2020 to Mar 25, 2021
- HNW RAUM · $557,588 to $582,151Jun 29, 2020 to Mar 25, 2021
- RAUM · $500M to $437MJun 29, 2020 to Mar 25, 2021
- Accounts · 22 to 49Mar 15, 2019 to Mar 23, 2020
- Discretionary RAUM · $462M to $500MMar 15, 2019 to Mar 23, 2020
- HNW RAUM · $735,000 to $557,588Mar 15, 2019 to Mar 23, 2020
- Individual RAUM · 0.0 to unsetMar 15, 2019 to Mar 23, 2020
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 601-956-3511reportedpublic record, Form ADV, Mar 16, 2026
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
- Other 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