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
S•••••••• I••••••••• I•••
Latest filing May 27, 2015
First filing on the tape Nov 15, 2012 · 14 filings
RAUM
$108M
reported, Item 5.F
Discretionary
100%
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
13
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$108M as of Jan 14, 2015
Mar 15, 2013$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)13 as of Jan 14, 2015
Mar 15, 201320 then
Employees (5.A)13 as of Jan 14, 2015
Mar 15, 201320 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 15 to 13
Practice profile
derived from the filing of May 27, 2015; every figure names its basis
- RAUM per advisor
- $8.3MderivedRAUM 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
- $218,522derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 13.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 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)
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
- 493reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
- D•••• A••••• L•••• to L•••• T•••• W•••••Dec 31, 2015 · Other
- T••• A••• C•••••• to C•••••• F•••••••• A•••••••• L••Oct 26, 2015 · Other
- J••• A••••• M•••• to M•••• M•••• M•••••••••Oct 1, 2015 · Other
- J••••• D•••• W•••••• to W•••••• F•••••••• P••••••• L••Oct 1, 2015 · Other
- J•••• R•• F••••• to T•••• W••••• A•••••••Oct 1, 2015 · Other
- R••••• M••• C•••••• to S••••• I••••••••• M••••••••• L••Sep 22, 2015 · Other
- M••• M••••• F••••••• to F•••• F•••••••• C•••••••• I•••Aug 19, 2015 · Other
- E••• F••••••• H••••• to T•••• W••••• A•••••••Aug 19, 2015 · Other
- L•• H•••• to L•• H•••• A•• A••••••••• W••••• M••••••••• L••Apr 28, 2015 · Other
- D••••• L•••••• R••• to A•••••••• R••••••••• G••••Apr 28, 2015 · Other
- J••• L•• H••••• to H••• I••••••••• L••Oct 17, 2014 · Other
- J••••••• M••• T•••• to T•••• W••••• A•••••••Mar 14, 2014 · Other
- B•••••• J••• S•••••• to F••••••• C•••••• M•••••••••Feb 11, 2014 · Other
- J•••• P••••• W••• to A• C•••• S•••••••• L••Jan 10, 2014 · Other
- E•••• D•••• B•••• to B•••• F•••••••• G••••Dec 26, 2013 · Other
Joined, latest
- H••••• C•••••• M••••• from A•••••• A••••••• S•••••••Aug 2, 2013 · Other
- B•••••• J••• S•••••• from C•••••• A••••••• S•••••••• L••Jul 15, 2013 · Other
- P••• W•••••• A•••• from M••••• C•••••• A•••••••• L••May 21, 2013 · Other
- R••••• M••• C•••••• from S•••• S••••••••• I••Mar 25, 2013 · Other
- L•• H•••• from S•••• S••••••••• I••Jan 4, 2013 · Other
- J••• L•• H••••• from S•••• S••••••••• I••Jan 4, 2013 · Other
- D••••• L•••••• R••• from S•••• S••••••••• I••Jan 4, 2013 · Other
- J••• A••••• M•••• from S•••• S••••••••• I••Jan 2, 2013 · Other
- J••••••• M••• T•••• from S•••• S••••••••• I••Jan 2, 2013 · Other
- J••••• D•••• W•••••• from D•••• W••••• M••••••••• G••••• L••Jan 2, 2013 · Other
- M••• M••••• F••••••• from S•••• S••••••••• I••Jan 2, 2013 · Other
- J•••• P••••• W••• from S•••• S••••••••• I••Jan 2, 2013 · Other
- E•••• D•••• B•••• from L•• F•••••••• L••Dec 5, 2012 · Other
- J•••• L••••• H•••••• from S•••• S••••••••• I••Dec 5, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• D••••• A••••• · President, Chief Compliance Officer, Anti-M•••• Laundering Officercontrolsince 05/2015 · owns less than 5%
- M••••••• S•••• A•• · Shareholdercontrolsince 02/2000 · owns 75% or more of S & P B••••••• Tr.
- M••••••• S•••• A•• · Secretarysince 07/2001 · owns less than 5%
- M••••••• G••••••• L•••• · Shareholdersince 02/2000 · owns 25% to 50% of G•••••• M•••••• A•••• M••••••••• C•
Entity owners
- T•• H•••••••• I••• · Stockholderdirect · owns 75% or more
- G•••••• M•••••• A•••• M••••••••• C• · Shareholderindirect · owns 25% to 50% of T•• H•••••••• I•••
- S• • P• B••••••• T•••• · Shareholderindirect · owns 50% to 75% of T•• H•••••••• I•••
Related persons
Schedule D 7.A
- T•••• E•••••••• I•••••••• A••••• I••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 453 to 493Nov 3, 2014 to Jan 14, 2015
- Advisory employees · 15 to 13Nov 3, 2014 to Jan 14, 2015
- Employees · 15 to 13Nov 3, 2014 to Jan 14, 2015
- Insurance-licensed employees · 3 to 1Nov 3, 2014 to Jan 14, 2015
- State-registered IARs · 15 to 13Nov 3, 2014 to Jan 14, 2015
- Discretionary RAUM · $85.3M to $108MNov 3, 2014 to Jan 14, 2015
- RAUM · $85.3M to $108MNov 3, 2014 to Jan 14, 2015
- Related adviser · true to falseNov 3, 2014 to Jan 14, 2015
- Accounts · 1,063 to 453Oct 21, 2013 to Mar 17, 2014
- Advisory employees · 18 to 15Oct 21, 2013 to Mar 17, 2014
- BD registered reps · 19 to 0Oct 21, 2013 to Mar 17, 2014
- Employees · 20 to 15Oct 21, 2013 to Mar 17, 2014
- State-registered IARs · 20 to 15Oct 21, 2013 to Mar 17, 2014
- Discretionary RAUM · $101M to $85.3MOct 21, 2013 to Mar 17, 2014
- RAUM · $101M to $85.3MOct 21, 2013 to Mar 17, 2014
- Related broker-dealer · true to falseOct 21, 2013 to Mar 17, 2014
- Accounts · 1,329 to 1,063Nov 15, 2012 to Mar 15, 2013
- BD registered reps · 18 to 19Nov 15, 2012 to Mar 15, 2013
- Employees · 19 to 20Nov 15, 2012 to Mar 15, 2013
- Insurance-licensed employees · 4 to 3Nov 15, 2012 to Mar 15, 2013
- State-registered IARs · 19 to 20Nov 15, 2012 to Mar 15, 2013
- Discretionary RAUM · $109M to $101MNov 15, 2012 to Mar 15, 2013
- RAUM · $109M to $101MNov 15, 2012 to Mar 15, 2013
Signals
1 dated events
- S•••••••• I••••••••• I••• filed its initial SEC registration (Form ADV)Nov 15, 2012 · ria f•••• adv filing · 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