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
P•• F••• M••••••••• I•••
Latest filing Mar 25, 2019
First filing on the tape Mar 28, 2012 · 9 filings
RAUM
$159M
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
9 filings and snapshots on the tape
RAUM$159M as of Mar 25, 2019
Mar 28, 2012$330M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2019
Apr 1, 20130 then
Employees (5.A)2 as of Mar 25, 2019
Apr 1, 20132 then
Private funds: no history
RAUM -18% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2019; 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
- $22.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%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
- -18%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$156M98%
- Insurance companies$2.9M1.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
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
- A••••••••• D••••• E••••• · Director/Presidentcontrolsince 06/2000 · owns 50% to 75%
- P•••••• A••••••• C••••••••• · Director/Vice President And Chief Compliance Officercontrolsince 06/2000 · owns 50% to 75%
Related persons
Schedule D 7.A
- P•• C•••••• A•••••••investment adviserbankpooled vehicle sponsornRAUM $126M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $194M to $159MMar 28, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $191M to $156MMar 28, 2018 to Mar 25, 2019
- RAUM · $194M to $159MMar 28, 2018 to Mar 25, 2019
- Pooled vehicle clients · unset to 6.0Mar 28, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 28, 2017 to Mar 28, 2018
- Discretionary RAUM · $193M to $194MMar 28, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 191023376.0Mar 28, 2017 to Mar 28, 2018
- RAUM · $193M to $194MMar 28, 2017 to Mar 28, 2018
- Accounts · 8 to 7Sep 16, 2016 to Mar 28, 2017
- Discretionary RAUM · $303M to $193MSep 16, 2016 to Mar 28, 2017
- RAUM · $303M to $193MSep 16, 2016 to Mar 28, 2017
- Discretionary RAUM · $340M to $303MMar 31, 2015 to Mar 30, 2016
- RAUM · $340M to $303MMar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $332M to $340MMar 31, 2014 to Mar 31, 2015
- RAUM · $332M to $340MMar 31, 2014 to Mar 31, 2015
- Accounts · 9 to 8Apr 1, 2013 to Mar 31, 2014
- Discretionary RAUM · $293M to $332MApr 1, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $14.9M to $0Apr 1, 2013 to Mar 31, 2014
- RAUM · $307M to $332MApr 1, 2013 to Mar 31, 2014
- Advisory employees · unset to 2.0Mar 28, 2012 to Apr 1, 2013
- Employees · unset to 2.0Mar 28, 2012 to Apr 1, 2013
- State-registered IARs · unset to 0.0Mar 28, 2012 to Apr 1, 2013
- Discretionary RAUM · $310M to $293MMar 28, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $20.0M to $14.9MMar 28, 2012 to Apr 1, 2013
- RAUM · $330M to $307MMar 28, 2012 to Apr 1, 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