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
Partnersinwealth, Inc
Latest filing Jun 26, 2020
First filing on the tape Mar 8, 2012 · 15 filings
RAUM
$377M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
100%
$377M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$377M as of Mar 24, 2020
Mar 8, 2012$167M then
HNW client RAUM$359M as of Mar 24, 2020
Mar 30, 2018$381M then
State-registered IARs (5.B.3)0 as of Mar 24, 2020
Mar 8, 20120 then
Employees (5.A)7 as of Mar 24, 2020
Apr 18, 20136 then
Private funds: no history
RAUM -3.7% over the last fiscal year+1.2% a year over threeIARs 3 to 0offices 1 to 0
Practice profile
derived from the filing of Jun 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
- $382,132derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%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
- -3.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- Custody
- $377M, 102 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$359M95%
- Individuals$17.3M4.6%
- Individual clients
- 30reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 986reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $377M for 102 clientsreported
- 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
- Jeffrey Earl Riley to The Mather Group, LLCSep 8, 2020 · RIA to RIA
- Nathan Luke to The Mather Group, LLCSep 8, 2020 · RIA to RIA
- Aurora Margarita Barcenas to Investec Wealth StrategiesFeb 5, 2020 · RIA to RIA
- Morgan Grice to Strategic Advisers LLCMar 23, 2017 · Other
Joined, latest
- Nathan Luke from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 30, 2020 · Wirehouse to independent RIA
- Aurora Margarita Barcenas from Morgan StanleyFeb 1, 2019 · Wirehouse to independent RIA
- Jeffrey Earl Riley from Pruco Securities, LLCAug 26, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for The Mather Group, LLCSep 8, 2020 · Houston, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Rodney James Waters · President/Chief Compliance Officercontrolsince 11/1992 · owns 25% to 50%
- Susan E Waters · Directorcontrolsince 11/1992 · owns 25% to 50%
- Earl Jeffrey Riley · Personalcfosince 09/2016 · 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 · 772 to 986Mar 29, 2019 to Mar 24, 2020
- HNW clients · 80 to 72Mar 29, 2019 to Mar 24, 2020
- Individual clients · 22 to 30Mar 29, 2019 to Mar 24, 2020
- Assets in custody · $56.5M to $377MMar 29, 2019 to Mar 24, 2020
- Employees · 6 to 7Mar 29, 2019 to Mar 24, 2020
- Financial planning clients · 51-100 to 101-250Mar 29, 2019 to Mar 24, 2020
- State-registered IARs · 3 to 0Mar 29, 2019 to Mar 24, 2020
- Other offices · 1 to 0Mar 29, 2019 to Mar 24, 2020
- Discretionary RAUM · $236M to $248MMar 29, 2019 to Mar 24, 2020
- HNW RAUM · $385M to $359MMar 29, 2019 to Mar 24, 2020
- Individual RAUM · $6.3M to $17.3MMar 29, 2019 to Mar 24, 2020
- Non-discretionary RAUM · $155M to $129MMar 29, 2019 to Mar 24, 2020
- RAUM · $391M to $377MMar 29, 2019 to Mar 24, 2020
- Accounts · 660 to 772Aug 7, 2018 to Mar 29, 2019
- Advisory employees · 2 to 3Aug 7, 2018 to Mar 29, 2019
- HNW clients · 68 to 80Aug 7, 2018 to Mar 29, 2019
- Individual clients · 27 to 22Aug 7, 2018 to Mar 29, 2019
- Assets in custody · unset to 56472932.0Aug 7, 2018 to Mar 29, 2019
- Custody of client assets · false to trueAug 7, 2018 to Mar 29, 2019
- Employees · 5 to 6Aug 7, 2018 to Mar 29, 2019
- State-registered IARs · 2 to 3Aug 7, 2018 to Mar 29, 2019
- Discretionary RAUM · $224M to $236MAug 7, 2018 to Mar 29, 2019
- HNW RAUM · $381M to $385MAug 7, 2018 to Mar 29, 2019
- Individual RAUM · $9.2M to $6.3MAug 7, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $166M to $155MAug 7, 2018 to Mar 29, 2019
- RAUM · $390M to $391MAug 7, 2018 to Mar 29, 2019
- Accounts · 549 to 660Aug 3, 2017 to Mar 30, 2018
- Advisory employees · 3 to 2Aug 3, 2017 to Mar 30, 2018
- HNW clients · unset to 68.0Aug 3, 2017 to Mar 30, 2018
- Individual clients · unset to 27.0Aug 3, 2017 to Mar 30, 2018
- State-registered IARs · 3 to 2Aug 3, 2017 to Mar 30, 2018
- Other offices · unset to 1.0Aug 3, 2017 to Mar 30, 2018
- Discretionary RAUM · $207M to $224MAug 3, 2017 to Mar 30, 2018
- HNW RAUM · unset to 380514675.0Aug 3, 2017 to Mar 30, 2018
- Individual RAUM · unset to 9168951.0Aug 3, 2017 to Mar 30, 2018
- Non-discretionary RAUM · $156M to $166MAug 3, 2017 to Mar 30, 2018
- RAUM · $364M to $390MAug 3, 2017 to Mar 30, 2018
- Accounts · 702 to 549Oct 6, 2016 to Mar 24, 2017
- Advisory employees · 4 to 3Oct 6, 2016 to Mar 24, 2017
- State-registered IARs · 4 to 3Oct 6, 2016 to Mar 24, 2017
Signals
1 dated events
- Susan E Waters (Director) appeared on Schedule A of Partnersinwealth, IncMar 24, 2020 · Control person joined · 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