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
A•• P•••••••• S••••••••• I•••
Latest filing Jun 28, 2019
First filing on the tape Dec 7, 2011 · 13 filings
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
4.3%
$5.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$127M as of Jun 28, 2019
Jul 31, 2012$532M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Jun 28, 2019
Jun 6, 20132 then
Employees (5.A)8 as of Jun 28, 2019
Jun 6, 20132 then
Private funds: no history
RAUM +13% over the last fiscal year-46% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Jun 28, 2019; every figure names its basis
- RAUM per advisor
- $15.9MderivedRAUM 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
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 96%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$122M96%
- Individuals$5.5M4.3%
- Individual clients
- 60reported
- HNW clients
- n/areported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 72reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- L••••••• B•••• R•••••• to S••••••• P•••••• A•••••••• L•••Mar 9, 2020 · Other
- M•••••• L•• P•••••• to S••••••• P•••••• A•••••••• L•••Dec 31, 2019 · Other
- B•••• R•••••• to S••••••• P•••••• A•••••••• L•••Dec 31, 2019 · Other
- R••• M•••••• R•••• to S••••••• P•••••• A•••••••• L•••Dec 31, 2019 · Other
- J•••• E• C•••••••• to S••••••• P•••••• A•••••••• L•••Dec 31, 2019 · Other
- W•••••• P•••••• C••••• to S••••••• P•••••• A•••••••• L•••Dec 31, 2019 · Other
- K•••• H• L•••• to S••••••• P•••••• A•••••••• L•••Dec 31, 2019 · Other
- K•• S•• H••••••• to C••••••• F•••••••• A•••••••Apr 3, 2013 · Other
- L••••••• B•••• R•••••• to V•••••• A•••••••• I•••Sep 13, 2011 · Other
Joined, latest
- L••••••• B•••• R•••••• from V•••••• A•••••••• I•••May 1, 2012 · Other
- K•• S•• H••••••• from F•••••• O•• I••••••••• A•••••••• I•••Feb 24, 2012 · Other
- L••••••• B•••• R•••••• from E•••••••• A•••••••• L••Aug 27, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for S••••••• P•••••• A•••••••• L•••Dec 31, 2019 · Bingham Farms, Mi · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J••••• M•••••• · Chief Compliance Officercontrolsince 12/2017 · owns less than 5%
- R••••••• B•••• · Chief Investment Officercontrolsince 07/2015 · owns less than 5%
- R••••••• L•••••••• B•••• · Presidentcontrolsince 02/1999 · owns less than 5%
- T•••••• C••••• A•• · Executive Vice Presidentcontrolsince 02/1999 · owns less than 5%
- R••••••• L•••••••• B•••• · Ownercontrolsince 02/1999 · owns 50% to 75% of A••••••• B•••••• G•••• O• M••••••• I•••
- T•••••• C••••• A•• · Ownercontrolsince 02/1999 · owns 50% to 75% of A••••••• B•••••• G•••• O• M••••••• I•••
Entity owners
- A••••••• B•••••• G•••• O• M••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• B•••••• G•••• O• M•••••••• I•••LP sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 25 to 72Jun 28, 2018 to Jun 28, 2019
- Individual clients · 13 to 60Jun 28, 2018 to Jun 28, 2019
- Financial planning clients · 0 to unsetJun 28, 2018 to Jun 28, 2019
- Discretionary RAUM · $113M to $127MJun 28, 2018 to Jun 28, 2019
- Individual RAUM · $2.0M to $5.5MJun 28, 2018 to Jun 28, 2019
- Pension RAUM · $111M to $122MJun 28, 2018 to Jun 28, 2019
- RAUM · $113M to $127MJun 28, 2018 to Jun 28, 2019
- Accounts · 251 to 25Jun 28, 2017 to Jun 28, 2018
- Individual clients · unset to 13.0Jun 28, 2017 to Jun 28, 2018
- Pension plan clients · unset to 12.0Jun 28, 2017 to Jun 28, 2018
- Other offices · unset to 0.0Jun 28, 2017 to Jun 28, 2018
- Discretionary RAUM · $81.7M to $113MJun 28, 2017 to Jun 28, 2018
- Individual RAUM · unset to 1987918.0Jun 28, 2017 to Jun 28, 2018
- Non-discretionary RAUM · $906M to $0Jun 28, 2017 to Jun 28, 2018
- Pension RAUM · unset to 110744717.0Jun 28, 2017 to Jun 28, 2018
- RAUM · $987M to $113MJun 28, 2017 to Jun 28, 2018
- Accounts · 221 to 251Jun 27, 2016 to Jun 28, 2017
- Advisory employees · 2 to 8Jun 27, 2016 to Jun 28, 2017
- Employees · 2 to 8Jun 27, 2016 to Jun 28, 2017
- State-registered IARs · 2 to 8Jun 27, 2016 to Jun 28, 2017
- Discretionary RAUM · $0 to $81.7MJun 27, 2016 to Jun 28, 2017
- Non-discretionary RAUM · $795M to $906MJun 27, 2016 to Jun 28, 2017
- RAUM · $795M to $987MJun 27, 2016 to Jun 28, 2017
- Accounts · 205 to 221Jun 19, 2015 to Jun 27, 2016
- Discretionary RAUM · $8,743 to $0Jun 19, 2015 to Jun 27, 2016
- Non-discretionary RAUM · $699M to $795MJun 19, 2015 to Jun 27, 2016
- RAUM · $699M to $795MJun 19, 2015 to Jun 27, 2016
- Discretionary RAUM · $0 to $8,743Dec 15, 2014 to Jun 19, 2015
- Non-discretionary RAUM · $699M to $699MDec 15, 2014 to Jun 19, 2015
- Accounts · 194 to 205Jun 6, 2013 to Jun 26, 2014
- Non-discretionary RAUM · $573M to $699MJun 6, 2013 to Jun 26, 2014
- RAUM · $573M to $699MJun 6, 2013 to Jun 26, 2014
- Accounts · 187 to 194Sep 28, 2012 to Jun 6, 2013
- Advisory employees · unset to 2.0Sep 28, 2012 to Jun 6, 2013
- BD registered reps · unset to 1.0Sep 28, 2012 to Jun 6, 2013
- Employees · unset to 2.0Sep 28, 2012 to Jun 6, 2013
- State-registered IARs · unset to 2.0Sep 28, 2012 to Jun 6, 2013
- Non-discretionary RAUM · $532M to $573MSep 28, 2012 to Jun 6, 2013
- RAUM · $532M to $573MSep 28, 2012 to Jun 6, 2013
- Accounts · 167 to 187Apr 27, 2012 to Jul 31, 2012
Signals
3 dated events
- Michael James Cullen (Chief Compliance Officer) appeared on Schedule A of A•• P•••••••• S••••••••• I•••Jun 28, 2019 · Control person joined · fact
- B•••• R•••••• (Chief Investment Officer) appeared on Schedule A of A•• P•••••••• S••••••••• I•••Jun 28, 2019 · Control person joined · fact
- A•• P•••••••• S••••••••• I••• reported RAUM $112.7M, down 89% from $987.3M (2017-06-28 to 2018-06-28)Jun 28, 2018 · RAUM change · derived
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