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.
Former SEC-registered adviser
Psa Financial Advisors Inc
Latest filing Jun 1, 2017
First filing on the tape Feb 8, 2012 · 19 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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$206M as of Jun 12, 2015
Jun 14, 2012$154M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 21, 2016
Jul 8, 201323 then
Employees (5.A)2 as of Jun 21, 2016
Jul 8, 201325 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 17 to 1
Practice profile
derived from the filing of Jun 1, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- otherreportedItem 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
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
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- Donna M Teets to United Capital Financial AdvisorsOct 7, 2016 · Other
- Laurence Seiden to United Capital Financial AdvisorsOct 30, 2015 · Other
- John B Troy to United Capital Financial AdvisorsOct 30, 2015 · Other
- Christopher Edward Portner to Osaic Fa, Inc.Sep 22, 2015 · Other
- Chad Jeremy Wilson to Hightower Advisors, LLCAug 25, 2014 · Other
- Jania Elaine Stout to Hightower Advisors, LLCAug 19, 2014 · Other
- Victor Lee Lombardi to Cadaret Grant & Co IncAug 8, 2011 · Other
- Douglas Charles Tyson to Bb&T Investment Services, Inc.Feb 25, 2011 · Other
- Roger Irvin Bair to Financial ConsulateMay 19, 2008 · Other
- Michael Raymond Perhac to Main Street Advisors, LLCJul 20, 2007 · Other
- Ronald J Campbell to Citigroup Global Markets Inc.Jan 8, 2007 · Other
- Brian Alan Akers to Kalos ManagementFeb 27, 2006 · Other
- Jeffery Larry Akers to Kalos ManagementFeb 27, 2006 · Other
Joined, latest
- John B Troy from Park Avenue Securities LLCJan 7, 2013 · Other
- Douglas Charles Tyson from Edward JonesJun 21, 2010 · Other
- Victor Lee Lombardi from Morgan StanleyJun 25, 2009 · Other
- Chad Jeremy Wilson from Manchester AdvisorsSep 30, 2008 · Other
- Laurence Seiden from Tower Square Securities, Inc.May 20, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for United Capital Financial AdvisorsOct 30, 2015 · Hunt Valley, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Charles Trevor Lewis · Chief Compliance Officercontrolsince 09/2016 · owns less than 5%
- A Craig English · Director Of Insurancecontrolsince 05/2009 · owns F of Psa Holdings, Inc
- Charles Trevor Lewis · Ownercontrolsince 05/2009 · owns 75% or more of Psa Holdings, Inc
Entity owners
- Psa Holdings, Inc · Corporate Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Psa Holdings, Increal estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 0 to 1Nov 11, 2016 to Feb 20, 2017
- BD registered reps · 1 to 0Jun 21, 2016 to Nov 11, 2016
- Employees · 2 to 1Jun 21, 2016 to Nov 11, 2016
- Insurance-licensed employees · 1 to 0Jun 21, 2016 to Nov 11, 2016
- Related broker-dealer · true to falseJun 21, 2016 to Nov 11, 2016
- Accounts · 0.0 to unsetMay 17, 2016 to Jun 21, 2016
- Insurance-licensed employees · 0 to 1May 17, 2016 to Jun 21, 2016
- Discretionary RAUM · 0.0 to unsetMay 17, 2016 to Jun 21, 2016
- Non-discretionary RAUM · 0.0 to unsetMay 17, 2016 to Jun 21, 2016
- RAUM · 0.0 to unsetMay 17, 2016 to Jun 21, 2016
- Accounts · 843 to 0Dec 23, 2015 to Apr 29, 2016
- Advisory employees · 16 to 0Dec 23, 2015 to Apr 29, 2016
- Advisory activities · 4 to 1Dec 23, 2015 to Apr 29, 2016
- BD registered reps · 14 to 1Dec 23, 2015 to Apr 29, 2016
- Employees · 17 to 2Dec 23, 2015 to Apr 29, 2016
- Financial planning clients · 51-100 to 0Dec 23, 2015 to Apr 29, 2016
- State-registered IARs · 17 to 1Dec 23, 2015 to Apr 29, 2016
- Discretionary RAUM · $201M to $0Dec 23, 2015 to Apr 29, 2016
- Non-discretionary RAUM · $4.9M to $0Dec 23, 2015 to Apr 29, 2016
- RAUM · $206M to $0Dec 23, 2015 to Apr 29, 2016
- Related adviser · true to falseDec 23, 2015 to Apr 29, 2016
- Accounts · 813 to 843Mar 26, 2015 to Jun 12, 2015
- Advisory employees · 22 to 16Mar 26, 2015 to Jun 12, 2015
- BD registered reps · 20 to 14Mar 26, 2015 to Jun 12, 2015
- Employees · 23 to 17Mar 26, 2015 to Jun 12, 2015
- State-registered IARs · 21 to 17Mar 26, 2015 to Jun 12, 2015
- Discretionary RAUM · $189M to $201MMar 26, 2015 to Jun 12, 2015
- Non-discretionary RAUM · $0 to $4.9MMar 26, 2015 to Jun 12, 2015
- RAUM · $189M to $206MMar 26, 2015 to Jun 12, 2015
- Accounts · 873 to 813Jan 14, 2014 to Jun 19, 2014
- Advisory employees · 23 to 22Jan 14, 2014 to Jun 19, 2014
- Advisory activities · 5 to 4Jan 14, 2014 to Jun 19, 2014
- Employees · 25 to 23Jan 14, 2014 to Jun 19, 2014
- State-registered IARs · 23 to 21Jan 14, 2014 to Jun 19, 2014
- Discretionary RAUM · $169M to $189MJan 14, 2014 to Jun 19, 2014
- Non-discretionary RAUM · $2.0B to $0Jan 14, 2014 to Jun 19, 2014
- RAUM · $2.2B to $189MJan 14, 2014 to Jun 19, 2014
- Accounts · 825 to 873Jan 25, 2013 to Jul 8, 2013
- Advisory employees · 21 to 23Jan 25, 2013 to Jul 8, 2013
- Employees · 24 to 25Jan 25, 2013 to Jul 8, 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