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.

Former SEC-registered adviser

Slocum

Former SEC-registered adviserMinneapolis, MinnesotaCRD 111795SEC 801-39426IAPD
Legal name Jeffrey Slocum & Associates, Inc.
Latest filing Apr 28, 2016
First filing on the tape Mar 28, 2012 · 12 filings
RAUM
$124B
reported, Item 5.F
Discretionary
0.9%
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
80
50 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$124B as of Apr 28, 2016
Mar 28, 2012$300M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2016
Mar 28, 20120 then
Employees (5.A)80 as of Apr 28, 2016
Apr 24, 201370 then
Private funds: no history
RAUM +6.9% over the last fiscal year+9.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2016; 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
$946MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.9%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
+6.9%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$1.1B, 5 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
131reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$1.1B for 5 clientsreported
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
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
      • Charles Jeffrey Slocum · President And Chairman Of Boardcontrol
        since 12/2009 · owns 75% or more
      • Howell John Bullion · Board Member
        since 12/2009 · owns less than 5%
      • Nicole Delahanty · Principal
        since 07/2012 · owns less than 5%
      • James Donald Dewolfe · Board Member And Vice Chair
        since 12/2009 · owns less than 5%
      • Surachez Texas Hemmaplardh · Principal
        since 12/2009 · owns 5% to 10%
      • James Robert Mcreavy · Chief Operating Officer/Chief Financial Officer/Chief Legal Officer/Chief Compliance Officer
        since 12/2009 · owns less than 5%
      • Donald Bryan Mullin · Principal
        since 02/2015 · owns less than 5%
      • Keane Meggan O'Shea · Principal
        since 11/2007 · owns 10% to 25%
      • Zuber Helene Slocum · Board Member
        since 12/2009 · owns 75% or more
      • Edward James Treanor · Principal
        since 01/2013 · owns less than 5%
      • James Christopher Tschida · Principal
        since 11/2007 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 126 to 131
        Oct 19, 2015 to Apr 28, 2016
      • Assets in custody · unset to 1104542489.0
        Oct 19, 2015 to Apr 28, 2016
      • Custody of client assets · false to true
        Oct 19, 2015 to Apr 28, 2016
      • Discretionary RAUM · $1.0B to $1.1B
        Oct 19, 2015 to Apr 28, 2016
      • Non-discretionary RAUM · $115B to $123B
        Oct 19, 2015 to Apr 28, 2016
      • RAUM · $116B to $124B
        Oct 19, 2015 to Apr 28, 2016
      • Accounts · 127 to 126
        Dec 1, 2014 to Apr 29, 2015
      • Discretionary RAUM · $1.1B to $1.0B
        Dec 1, 2014 to Apr 29, 2015
      • Non-discretionary RAUM · $114B to $115B
        Dec 1, 2014 to Apr 29, 2015
      • RAUM · $115B to $116B
        Dec 1, 2014 to Apr 29, 2015
      • Accounts · 120 to 127
        Mar 6, 2014 to Dec 1, 2014
      • Discretionary RAUM · $1.0B to $1.1B
        Mar 6, 2014 to Dec 1, 2014
      • Non-discretionary RAUM · $107B to $114B
        Mar 6, 2014 to Dec 1, 2014
      • RAUM · $108B to $115B
        Mar 6, 2014 to Dec 1, 2014
      • Accounts · 2 to 120
        Nov 14, 2013 to Mar 6, 2014
      • Employees · 70 to 80
        Nov 14, 2013 to Mar 6, 2014
      • Discretionary RAUM · $346M to $1.0B
        Nov 14, 2013 to Mar 6, 2014
      • Non-discretionary RAUM · $0 to $107B
        Nov 14, 2013 to Mar 6, 2014
      • RAUM · $346M to $108B
        Nov 14, 2013 to Mar 6, 2014
      • Accounts · 114 to 2
        Apr 24, 2013 to Sep 24, 2013
      • Discretionary RAUM · $95B to $346M
        Apr 24, 2013 to Sep 24, 2013
      • Non-discretionary RAUM · $346M to $0
        Apr 24, 2013 to Sep 24, 2013
      • RAUM · $95B to $346M
        Apr 24, 2013 to Sep 24, 2013
      • Accounts · 2 to 114
        Jul 3, 2012 to Apr 24, 2013
      • Advisory employees · unset to 50.0
        Jul 3, 2012 to Apr 24, 2013
      • Employees · unset to 70.0
        Jul 3, 2012 to Apr 24, 2013
      • Discretionary RAUM · $300M to $95B
        Jul 3, 2012 to Apr 24, 2013
      • Non-discretionary RAUM · $0 to $346M
        Jul 3, 2012 to Apr 24, 2013
      • RAUM · $300M to $95B
        Jul 3, 2012 to Apr 24, 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