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RIA Intelligence

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Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $157M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$157M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+22%
Form ADV, consecutive annual filings
Private clients
55% of RAUM, $86.9M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 112440 · SEC 801-114596 · 9 filingsShow
CRD 112440SEC 801-114596First filing on the tape Jan 23, 2012, latest Dec 18, 2018IAPD
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
55%
$86.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$90.9M as of Feb 23, 2016
Jan 23, 2012$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 23, 2016
Jan 23, 20120 then
Employees (5.A)2 as of Feb 23, 2016
Mar 4, 20132 then
Private funds: no history
RAUM +22% over the last fiscal year+4.6% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Dec 18, 2018; every figure names its basis
RAUM per advisor
$157MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
71derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$13.3MderivedHNW RAUM over HNW clients
Average account
$660,172derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-29%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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • Corporations and businesses$50.5M32%
  • Individuals$47.0M30%
  • High-net-worth individuals$39.9M25%
  • Charitable organizations$19.7M13%
Individual clients
68reported
HNW clients
3reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
238reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
      • P••••••• J••• · President & Chief Compliance Officercontrol
        since 01/1992 · owns 75% or more
      • P••••••• K••••••• V• · Office Manager
        since 06/1992 · owns 10% to 25%
      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 · 77 to 238
        Feb 23, 2016 to Dec 18, 2018
      • Charity clients · unset to 1.0
        Feb 23, 2016 to Dec 18, 2018
      • Corporate clients · unset to 1.0
        Feb 23, 2016 to Dec 18, 2018
      • HNW clients · unset to 3.0
        Feb 23, 2016 to Dec 18, 2018
      • Individual clients · unset to 68.0
        Feb 23, 2016 to Dec 18, 2018
      • Employees · 2 to 1
        Feb 23, 2016 to Dec 18, 2018
      • State-registered IARs · 0 to 1
        Feb 23, 2016 to Dec 18, 2018
      • Other offices · unset to 1.0
        Feb 23, 2016 to Dec 18, 2018
      • Discretionary RAUM · $90.9M to $157M
        Feb 23, 2016 to Dec 18, 2018
      • HNW RAUM · unset to 39889780.0
        Feb 23, 2016 to Dec 18, 2018
      • Individual RAUM · unset to 46982361.0
        Feb 23, 2016 to Dec 18, 2018
      • RAUM · $90.9M to $157M
        Feb 23, 2016 to Dec 18, 2018
      • Accounts · 220 to 77
        Mar 10, 2015 to Feb 23, 2016
      • Discretionary RAUM · $129M to $90.9M
        Mar 10, 2015 to Feb 23, 2016
      • RAUM · $129M to $90.9M
        Mar 10, 2015 to Feb 23, 2016
      • Accounts · 203 to 220
        Oct 13, 2014 to Mar 10, 2015
      • Discretionary RAUM · $128M to $129M
        Oct 13, 2014 to Mar 10, 2015
      • RAUM · $128M to $129M
        Oct 13, 2014 to Mar 10, 2015
      • Discretionary RAUM · $67.2M to $128M
        Jan 21, 2014 to Sep 30, 2014
      • Non-discretionary RAUM · $73.8M to $0
        Jan 21, 2014 to Sep 30, 2014
      • RAUM · $141M to $128M
        Jan 21, 2014 to Sep 30, 2014
      • Accounts · 223 to 203
        Mar 4, 2013 to Jan 17, 2014
      • Discretionary RAUM · $64.3M to $67.2M
        Mar 4, 2013 to Jan 17, 2014
      • Non-discretionary RAUM · $73.1M to $73.8M
        Mar 4, 2013 to Jan 17, 2014
      • RAUM · $137M to $141M
        Mar 4, 2013 to Jan 17, 2014
      • Accounts · 208 to 223
        Jan 23, 2012 to Mar 4, 2013
      • Advisory employees · unset to 1.0
        Jan 23, 2012 to Mar 4, 2013
      • Employees · unset to 2.0
        Jan 23, 2012 to Mar 4, 2013
      • Discretionary RAUM · $47.4M to $64.3M
        Jan 23, 2012 to Mar 4, 2013
      • Non-discretionary RAUM · $66.0M to $73.1M
        Jan 23, 2012 to Mar 4, 2013
      • RAUM · $113M to $137M
        Jan 23, 2012 to Mar 4, 2013
      Signals
      1 dated events
      • ••• Locked
        Dec 18, 2018 · First SEC registration · fact
      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