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
F•••••••• C•••••• A••••••• I••
Latest filing Sep 29, 2022
First filing on the tape Apr 24, 2012 · 12 filings
RAUM
$111M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.5%
$589,852 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$111M as of Sep 29, 2022
Sep 24, 2012$277M then
HNW client RAUM$589,852 as of Sep 29, 2022
Sep 25, 2018$4.3M then
State-registered IARs (5.B.3)1 as of Sep 29, 2022
Sep 24, 20120 then
Employees (5.A)3 as of Sep 29, 2022
Sep 26, 20173 then
Private funds: no history
RAUM -70% over the last fiscal year-30% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 29, 2022; every figure names its basis
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $589,852derivedHNW RAUM over HNW clients
- Average account
- $37.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -70%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$111M99%
- High-net-worth individuals$589,8520.5%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• J••••• C••••••••• · Presidentcontrolsince 06/1984 · owns 75% or more
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 · 6 to 3Sep 24, 2021 to Sep 29, 2022
- HNW clients · 2 to 1Sep 24, 2021 to Sep 29, 2022
- Pension plan clients · 3 to 2Sep 24, 2021 to Sep 29, 2022
- HNW RAUM · $4.1M to $589,852Sep 24, 2021 to Sep 29, 2022
- Non-discretionary RAUM · $372M to $111MSep 24, 2021 to Sep 29, 2022
- Pension RAUM · $171M to $111MSep 24, 2021 to Sep 29, 2022
- RAUM · $372M to $111MSep 24, 2021 to Sep 29, 2022
- HNW RAUM · $3.2M to $4.1MSep 23, 2020 to Sep 24, 2021
- Non-discretionary RAUM · $321M to $372MSep 23, 2020 to Sep 24, 2021
- Pension RAUM · $139M to $171MSep 23, 2020 to Sep 24, 2021
- RAUM · $321M to $372MSep 23, 2020 to Sep 24, 2021
- HNW RAUM · $3.9M to $3.2MJul 1, 2020 to Sep 23, 2020
- Non-discretionary RAUM · $332M to $321MJul 1, 2020 to Sep 23, 2020
- Pension RAUM · $133M to $139MJul 1, 2020 to Sep 23, 2020
- RAUM · $332M to $321MJul 1, 2020 to Sep 23, 2020
- HNW RAUM · $4.3M to $3.9MSep 25, 2018 to Sep 24, 2019
- Non-discretionary RAUM · $325M to $332MSep 25, 2018 to Sep 24, 2019
- Pension RAUM · $127M to $133MSep 25, 2018 to Sep 24, 2019
- RAUM · $325M to $332MSep 25, 2018 to Sep 24, 2019
- HNW clients · unset to 2.0Sep 26, 2017 to Sep 25, 2018
- Pension plan clients · unset to 3.0Sep 26, 2017 to Sep 25, 2018
- Other offices · unset to 0.0Sep 26, 2017 to Sep 25, 2018
- HNW RAUM · unset to 4252009.0Sep 26, 2017 to Sep 25, 2018
- Non-discretionary RAUM · $313M to $325MSep 26, 2017 to Sep 25, 2018
- Pension RAUM · unset to 127144265.0Sep 26, 2017 to Sep 25, 2018
- RAUM · $313M to $325MSep 26, 2017 to Sep 25, 2018
- Non-discretionary RAUM · $291M to $313MOct 11, 2016 to Sep 26, 2017
- RAUM · $291M to $313MOct 11, 2016 to Sep 26, 2017
- Non-discretionary RAUM · $316M to $291MJun 30, 2016 to Oct 11, 2016
- RAUM · $316M to $291MJun 30, 2016 to Oct 11, 2016
- Non-discretionary RAUM · $297M to $316MSep 23, 2013 to Jun 30, 2016
- RAUM · $297M to $316MSep 23, 2013 to Jun 30, 2016
- Advisory employees · unset to 2.0Sep 24, 2012 to Sep 23, 2013
- Employees · unset to 3.0Sep 24, 2012 to Sep 23, 2013
- State-registered IARs · 0 to 1Sep 24, 2012 to Sep 23, 2013
- Non-discretionary RAUM · $277M to $297MSep 24, 2012 to Sep 23, 2013
- RAUM · $277M to $297MSep 24, 2012 to Sep 23, 2013
- Non-discretionary RAUM · $293M to $277MApr 24, 2012 to Sep 24, 2012
- RAUM · $293M to $277MApr 24, 2012 to Sep 24, 2012
Signals
2 dated events
- F•••••••• C•••••• A••••••• I•• reported RAUM $111.5M, down 70% from $371.7M (2021-09-24 to 2022-09-29)Sep 29, 2022 · RAUM change · derived
- F•••••••• C•••••• A••••••• I•• filed its initial SEC registration (Form ADV)Jun 30, 2016 · 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