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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

N•••••• A•••• M••••••••• L••

Former SEC-registered adviserCRD 111749SEC 801-50360IAPD
Latest filing May 26, 2020
First filing on the tape Mar 9, 2012 · 13 filings
RAUM
$159M
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
29%
$46.0M 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
13 filings and snapshots on the tape
RAUM$159M as of Feb 27, 2020
Mar 9, 2012$226M then
HNW client RAUM$45.3M as of Feb 27, 2020
Mar 10, 2018$155M then
State-registered IARs (5.B.3)0 as of Feb 27, 2020
Mar 15, 20130 then
Employees (5.A)2 as of Feb 27, 2020
Mar 15, 20135 then
Private funds: no history
RAUM +5.9% over the last fiscal year+6.6% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of May 26, 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
$5.0MderivedHNW RAUM over HNW clients
Average account
$3.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
40%derivedof RAUM
Institutional
5.4%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
+5.9%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • 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
  • High-net-worth individuals$45.3M83%
  • Charitable organizations$8.5M16%
  • Individuals$707,5831.3%
Individual clients
3reported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
45reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • N••••••• C•••••• · Chief Investment Officer, Membercontrol
        since 06/1995 · owns 25% to 50%
      • N••••••• P•••••••• M••••••• · Chief Compliance Officer, Membercontrol
        since 06/1995 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 38 to 45
        Feb 15, 2019 to Feb 27, 2020
      • Charity clients · 1 to 2
        Feb 15, 2019 to Feb 27, 2020
      • HNW clients · 10 to 9
        Feb 15, 2019 to Feb 27, 2020
      • Individual clients · 4 to 3
        Feb 15, 2019 to Feb 27, 2020
      • Other offices · 1 to 0
        Feb 15, 2019 to Feb 27, 2020
      • Discretionary RAUM · $93.2M to $63.5M
        Feb 15, 2019 to Feb 27, 2020
      • HNW RAUM · $143M to $45.3M
        Feb 15, 2019 to Feb 27, 2020
      • Individual RAUM · $831,585 to $707,583
        Feb 15, 2019 to Feb 27, 2020
      • Non-discretionary RAUM · $57.2M to $95.7M
        Feb 15, 2019 to Feb 27, 2020
      • RAUM · $150M to $159M
        Feb 15, 2019 to Feb 27, 2020
      • Accounts · 35 to 38
        Mar 10, 2018 to Feb 15, 2019
      • Charity clients · unset to 1.0
        Mar 10, 2018 to Feb 15, 2019
      • HNW clients · 8 to 10
        Mar 10, 2018 to Feb 15, 2019
      • Individual clients · 6 to 4
        Mar 10, 2018 to Feb 15, 2019
      • Discretionary RAUM · $101M to $93.2M
        Mar 10, 2018 to Feb 15, 2019
      • HNW RAUM · $155M to $143M
        Mar 10, 2018 to Feb 15, 2019
      • Individual RAUM · $996,109 to $831,585
        Mar 10, 2018 to Feb 15, 2019
      • Non-discretionary RAUM · $55.5M to $57.2M
        Mar 10, 2018 to Feb 15, 2019
      • RAUM · $156M to $150M
        Mar 10, 2018 to Feb 15, 2019
      • Accounts · 36 to 35
        Feb 27, 2017 to Mar 10, 2018
      • HNW clients · unset to 8.0
        Feb 27, 2017 to Mar 10, 2018
      • Individual clients · unset to 6.0
        Feb 27, 2017 to Mar 10, 2018
      • Other offices · unset to 1.0
        Feb 27, 2017 to Mar 10, 2018
      • Discretionary RAUM · $92.6M to $101M
        Feb 27, 2017 to Mar 10, 2018
      • HNW RAUM · unset to 154986245.0
        Feb 27, 2017 to Mar 10, 2018
      • Individual RAUM · unset to 996109.0
        Feb 27, 2017 to Mar 10, 2018
      • Non-discretionary RAUM · $38.8M to $55.5M
        Feb 27, 2017 to Mar 10, 2018
      • RAUM · $131M to $156M
        Feb 27, 2017 to Mar 10, 2018
      • Accounts · 37 to 36
        Jul 29, 2016 to Feb 27, 2017
      • Employees · 5 to 2
        Jul 29, 2016 to Feb 27, 2017
      • Discretionary RAUM · $96.0M to $92.6M
        Jul 29, 2016 to Feb 27, 2017
      • Non-discretionary RAUM · $22.3M to $38.8M
        Jul 29, 2016 to Feb 27, 2017
      • RAUM · $118M to $131M
        Jul 29, 2016 to Feb 27, 2017
      • Accounts · 69 to 37
        Feb 15, 2016 to Jul 29, 2016
      • Advisory employees · 5 to 2
        Feb 15, 2016 to Jul 29, 2016
      • Advisory activities · 3 to 2
        Feb 15, 2016 to Jul 29, 2016
      • Employees · 8 to 5
        Feb 15, 2016 to Jul 29, 2016
      • Discretionary RAUM · $519M to $96.0M
        Feb 15, 2016 to Jul 29, 2016
      • Non-discretionary RAUM · $23.2M to $22.3M
        Feb 15, 2016 to Jul 29, 2016
      • RAUM · $542M to $118M
        Feb 15, 2016 to Jul 29, 2016
      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