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••• F•••••••• S•••••••• I•••
Latest filing Mar 21, 2014
First filing on the tape Mar 26, 2012 · 6 filings
RAUM
$113M
reported, Item 5.F
Discretionary
88%
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
6
3 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$113M as of Mar 21, 2014
Mar 26, 2012$97.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 21, 2014
Mar 26, 20120 then
Employees (5.A)6 as of Mar 21, 2014
Mar 28, 20136 then
Private funds: no history
RAUM +7.4% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 21, 2014; every figure names its basis
- RAUM per advisor
- $37.8MderivedRAUM 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
- $217,538derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%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, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
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
- 521reported
- Financial planning clients
- 101-250reported
- 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
- A••••• G• F••••• to A••• A••••••• P•••••••Feb 9, 2015 · Other
Joined, latest
- A••••• G• F••••• from G••••• W••••• M••••••••• I•••Oct 20, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• J••••• L••••• · Chief Compliance Officercontrolsince 01/2004 · owns 25% to 50%
- S•••• G••••••• P•••••• · Presidentcontrolsince 01/1985 · owns 50% to 75%
Related persons
Schedule D 7.A
- B•••••• F•••••n
- C•••••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 532 to 521Oct 31, 2013 to Mar 21, 2014
- Discretionary RAUM · $92.2M to $99.8MOct 31, 2013 to Mar 21, 2014
- Non-discretionary RAUM · $20.7M to $13.5MOct 31, 2013 to Mar 21, 2014
- RAUM · $113M to $113MOct 31, 2013 to Mar 21, 2014
- Accounts · 187 to 532Mar 28, 2013 to Oct 24, 2013
- Discretionary RAUM · $9.1M to $92.2MMar 28, 2013 to Oct 24, 2013
- Non-discretionary RAUM · $96.4M to $20.7MMar 28, 2013 to Oct 24, 2013
- RAUM · $106M to $113MMar 28, 2013 to Oct 24, 2013
- Accounts · 535 to 187Feb 19, 2013 to Mar 28, 2013
- BD registered reps · 3 to 2Feb 19, 2013 to Mar 28, 2013
- Commission compensation · true to falseFeb 19, 2013 to Mar 28, 2013
- Discretionary RAUM · $6.4M to $9.1MFeb 19, 2013 to Mar 28, 2013
- Non-discretionary RAUM · $91.1M to $96.4MFeb 19, 2013 to Mar 28, 2013
- RAUM · $97.5M to $106MFeb 19, 2013 to Mar 28, 2013
- Advisory employees · unset to 3.0Mar 26, 2012 to Feb 19, 2013
- BD registered reps · unset to 3.0Mar 26, 2012 to Feb 19, 2013
- Employees · unset to 6.0Mar 26, 2012 to Feb 19, 2013
- State-registered IARs · 0 to 3Mar 26, 2012 to Feb 19, 2013
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