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
S••••••• F•••••••• A•••••••
Legal name S••••••• I••••••••• M••••••••• I•••
Latest filing Jun 29, 2020
First filing on the tape Mar 23, 2012 · 20 filings
RAUM
$209M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$209M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$209M as of Mar 20, 2020
Mar 23, 2012$100M then
HNW client RAUM$97.3M as of Mar 20, 2020
Mar 21, 2018$103M then
State-registered IARs (5.B.3)0 as of Mar 20, 2020
Mar 23, 20120 then
Employees (5.A)4 as of Mar 20, 2020
Mar 19, 20132 then
Private funds: no history
RAUM +9.4% over the last fiscal year-2.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2020; 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
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $260,484derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -14%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$112M54%
- High-net-worth individuals$97.3M46%
- Individual clients
- 408reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 804reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- D•••• D•••••• to W•••• F•••• A•••••••Apr 3, 2019 · RIA to wirehouse
- S•••••• A•••••••• K•• S•• B•••••• to N••••••••• M••••• I••••••••• S•••••••••Oct 4, 2018 · Other
- J••• G•••• to E••••• J••••May 9, 2018 · RIA to affiliated broker-dealer or bank
- S••• G••••• to W•••• F•••• A•••••••May 31, 2016 · Other
- M•••••• S••••• C••••• to B••••••••• W••••• A•••••••• L••Jan 2, 2015 · Other
- E••••• S•• G•••••• to B••••••••• W••••• A•••••••• L••Sep 18, 2014 · Other
Joined, latest
- S•••••• A•••••••• K•• S•• B•••••• from B••••••• I••••••••• S•••••••• I••• •••••Aug 27, 2018 · Affiliated broker-dealer or bank to independent RIA
- D•••• D•••••• from A••••••••• F•••••••• S•••••••• L••May 7, 2018 · Affiliated broker-dealer or bank to independent RIA
- S••• G••••• from U••• B•••••• I••••••••• I•••Nov 30, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••• D•••••• R••• · Director Of Operations/Ccocontrolsince 05/2018 · owns less than 5%
- S•••••••• K••••• W•••• · Presidentcontrolsince 01/1997 · owns 75% or more
Related persons
Schedule D 7.A
- K•••• W• S•••••••real estatey
- U••••• W•••••••• L••••••investment companyy
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 513 to 804Aug 26, 2019 to Mar 20, 2020
- HNW clients · 46 to 27Aug 26, 2019 to Mar 20, 2020
- Individual clients · 459 to 408Aug 26, 2019 to Mar 20, 2020
- Assets in custody · $12.1M to $17.2MAug 26, 2019 to Mar 20, 2020
- Employees · 6 to 4Aug 26, 2019 to Mar 20, 2020
- Discretionary RAUM · $207M to $209MAug 26, 2019 to Mar 20, 2020
- HNW RAUM · $111M to $97.3MAug 26, 2019 to Mar 20, 2020
- Individual RAUM · $95.8M to $112MAug 26, 2019 to Mar 20, 2020
- RAUM · $207M to $209MAug 26, 2019 to Mar 20, 2020
- Accounts · 847 to 513Mar 29, 2019 to Aug 26, 2019
- Assets in custody · $16.9M to $12.1MMar 29, 2019 to Aug 26, 2019
- Discretionary RAUM · $191M to $207MMar 29, 2019 to Aug 26, 2019
- HNW RAUM · $73.4M to $111MMar 29, 2019 to Aug 26, 2019
- Individual RAUM · $118M to $95.8MMar 29, 2019 to Aug 26, 2019
- RAUM · $191M to $207MMar 29, 2019 to Aug 26, 2019
- Accounts · 677 to 847May 17, 2018 to Mar 29, 2019
- Advisory employees · 2 to 1May 17, 2018 to Mar 29, 2019
- Charity clients · unset to 0.0May 17, 2018 to Mar 29, 2019
- Corporate clients · unset to 0.0May 17, 2018 to Mar 29, 2019
- HNW clients · 63 to 46May 17, 2018 to Mar 29, 2019
- Individual clients · 614 to 459May 17, 2018 to Mar 29, 2019
- Pension plan clients · unset to 0.0May 17, 2018 to Mar 29, 2019
- Pooled vehicle clients · unset to 0.0May 17, 2018 to Mar 29, 2019
- Assets in custody · $22.4M to $16.9MMay 17, 2018 to Mar 29, 2019
- Employees · 4 to 6May 17, 2018 to Mar 29, 2019
- Other offices · 1 to 0May 17, 2018 to Mar 29, 2019
- Discretionary RAUM · $217M to $191MMay 17, 2018 to Mar 29, 2019
- HNW RAUM · $103M to $73.4MMay 17, 2018 to Mar 29, 2019
- Individual RAUM · $114M to $118MMay 17, 2018 to Mar 29, 2019
- Pension RAUM · unset to 0.0May 17, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · unset to 0.0May 17, 2018 to Mar 29, 2019
- RAUM · $217M to $191MMay 17, 2018 to Mar 29, 2019
- Accounts · 1,356 to 677May 4, 2017 to Mar 21, 2018
- Advisory employees · 1 to 2May 4, 2017 to Mar 21, 2018
- Advisory activities · 3 to 2May 4, 2017 to Mar 21, 2018
- HNW clients · unset to 63.0May 4, 2017 to Mar 21, 2018
- Individual clients · unset to 614.0May 4, 2017 to Mar 21, 2018
- Assets in custody · $16.3M to $22.4MMay 4, 2017 to Mar 21, 2018
- Employees · 3 to 4May 4, 2017 to Mar 21, 2018
- State-registered IARs · 1 to 0May 4, 2017 to Mar 21, 2018
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