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

Sfx Financial Advisory Management Enterprises Inc

Former SEC-registered adviserWashington, District of ColumbiaCRD 112130SEC 801-42329IAPD
Latest filing Sep 10, 2012
First filing on the tape Jan 5, 2012 · 6 filings
RAUM
$45.4M
reported, Item 5.F
Discretionary
99%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$45.4M as of Sep 10, 2012
Jan 5, 2012$80.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 10, 2012
Jan 5, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 10, 2012; 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
$509,709derivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
unknownderivedbetween 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
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody
$44.8M, 18 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
89reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$44.8M for 18 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
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
    • Simon Eugene Mason · Chief Compliance Officercontrol
      since 09/2004 · owns less than 5%
    • Michael Rapino · Ceo/Presidentcontrol
      since 12/2005 · owns less than 5%
    • Brian Alan Ridgeway · Evp/Cfo/Secretarycontrol
      since 12/2005 · owns less than 5%
    • Kathleen Elizabeth Willard · Evp/Cao/Assistant Secretarycontrol
      since 12/2005 · owns less than 5%
    Entity owners
    • Live Nation Worldwide Inc. · Parent Company
      direct · owns 75% or more
    • Live Nation Entertainment Inc. · Parent Company
      indirect · owns 75% or more of Live Nation Worldwide Inc. · public reporting company
    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
    • Insurance-licensed employees · 0 to 1
      Jul 16, 2012 to Sep 10, 2012
    • Accounts · 98 to 89
      Mar 15, 2012 to Jun 25, 2012
    • Assets in custody · $74.7M to $44.8M
      Mar 15, 2012 to Jun 25, 2012
    • Discretionary RAUM · $48.9M to $44.8M
      Mar 15, 2012 to Jun 25, 2012
    • Non-discretionary RAUM · $2.0M to $598,259
      Mar 15, 2012 to Jun 25, 2012
    • RAUM · $51.0M to $45.4M
      Mar 15, 2012 to Jun 25, 2012
    • Accounts · 42 to 98
      Jan 5, 2012 to Mar 15, 2012
    • Discretionary RAUM · $74.7M to $48.9M
      Jan 5, 2012 to Mar 15, 2012
    • Non-discretionary RAUM · $5.9M to $2.0M
      Jan 5, 2012 to Mar 15, 2012
    • RAUM · $80.7M to $51.0M
      Jan 5, 2012 to Mar 15, 2012
    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