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
A••••••••• P•••••• I•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Aug 21, 1995
RAUM
$534M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$534M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$534M as of Mar 30, 2026
Mar 30, 2012$887M then
HNW client RAUM$533M as of Mar 30, 2026
Mar 28, 2018$935M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 30, 2026
Mar 31, 20144 then
Private funds5 as of Mar 30, 2026
Mar 30, 20124 then
RAUM +9.8% over the last fiscal year+8.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $534MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $23.2MderivedHNW RAUM over HNW clients
- Average account
- $9.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$533M100%
- Individuals$871,3730.2%
- Individual clients
- 4reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 54reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• I••••••••• C••• V•••• F••• | Other Private Fund | $64.1M | 36 | Mar 30, 2012 |
| A•• V•••• G••••• F••• | Other Private Fund | $62.4M | 27 | Mar 30, 2012 |
| A•• D••••••• V•••• F••• | Other Private Fund | $40.4M | 26 | Mar 31, 2014 |
| A•• U• C••• V•••• F••• | Other Private Fund | $38.3M | 15 | Mar 30, 2012 |
| A•• E••••••• A•• G••••• M•••••• F••• | Other Private Fund | $13.5M | 27 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• B••••• J••• · Presidentcontrolsince 12/1994 · owns 50% to 75%
- G•••• A•••••••• M••• · Chief Compliance Officersince 06/2005 · owns less than 5%
- H•••••• K•••••••• J••• · Direct Investment Officersince 12/2014 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 30, 2026RAUM per account of $9,883,645 against a peer median of $610,947 (1443 comparable advisers, 99.0th percentile, 6.3 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 62 to 54Mar 31, 2025 to Mar 30, 2026
- HNW clients · 19 to 23Mar 31, 2025 to Mar 30, 2026
- Individual clients · 11 to 4Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $486M to $534MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $483M to $533MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $3.4M to $871,373Mar 31, 2025 to Mar 30, 2026
- RAUM · $486M to $534MMar 31, 2025 to Mar 30, 2026
- Accounts · 67 to 62Mar 26, 2024 to Mar 31, 2025
- HNW clients · 9 to 19Mar 26, 2024 to Mar 31, 2025
- Individual clients · 24 to 11Mar 26, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Mar 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $443M to $486MMar 26, 2024 to Mar 31, 2025
- HNW RAUM · $415M to $483MMar 26, 2024 to Mar 31, 2025
- Individual RAUM · $31.0M to $3.4MMar 26, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.8M to $0Mar 26, 2024 to Mar 31, 2025
- RAUM · $446M to $486MMar 26, 2024 to Mar 31, 2025
- Accounts · 77 to 67Mar 31, 2023 to Mar 26, 2024
- HNW clients · 10 to 9Mar 31, 2023 to Mar 26, 2024
- Individual clients · 28 to 24Mar 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $409M to $443MMar 31, 2023 to Mar 26, 2024
- HNW RAUM · $347M to $415MMar 31, 2023 to Mar 26, 2024
- Individual RAUM · $73.2M to $31.0MMar 31, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $11.3M to $2.8MMar 31, 2023 to Mar 26, 2024
- RAUM · $421M to $446MMar 31, 2023 to Mar 26, 2024
- Accounts · 91 to 77Mar 30, 2022 to Mar 31, 2023
- HNW clients · 23 to 10Mar 30, 2022 to Mar 31, 2023
- Employees · 5 to 6Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $580M to $409MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $564M to $347MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $16.0M to $73.2MMar 30, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $0 to $11.3MMar 30, 2022 to Mar 31, 2023
- RAUM · $580M to $421MMar 30, 2022 to Mar 31, 2023
- Accounts · 90 to 91May 19, 2021 to Mar 30, 2022
- Discretionary RAUM · $497M to $580MMay 19, 2021 to Mar 30, 2022
- HNW RAUM · $494M to $564MMay 19, 2021 to Mar 30, 2022
- Individual RAUM · $15.4M to $16.0MMay 19, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $12.2M to $0May 19, 2021 to Mar 30, 2022
- RAUM · $509M to $580MMay 19, 2021 to Mar 30, 2022
- Accounts · 30 to 90Mar 27, 2020 to Mar 24, 2021
- HNW clients · 14 to 23Mar 27, 2020 to Mar 24, 2021
Signals
2 dated events
- A••••••••• P•••••• I•••••••• L•• reported RAUM $420.6M, down 28% from $580.4M (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- A••••••••• P•••••• I•••••••• L•• reported RAUM $600.5M, down 37% from $955.6M (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A••••••••• P•••••• I•••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Principal office phone
- 5613188710reportedpublic record, Form ADV, Mar 30, 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
- Independent wealth managerderiveda 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