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

Prudeo Partners, LLC

Former SEC-registered adviserWest Columbia, South CarolinaCRD 113961SEC 801-60743IAPD
Latest filing Mar 28, 2024
First filing on the tape Feb 15, 2012 · 40 filings
RAUM
$413M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$408M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$413M as of Mar 28, 2024
Feb 15, 2012$123M then
HNW client RAUM$246M as of Mar 28, 2024
Mar 12, 2018$50.0M then
State-registered IARs (5.B.3)4 as of Mar 28, 2024
Jun 11, 20132 then
Employees (5.A)8 as of Mar 28, 2024
Jun 11, 20135 then
Private funds: no history
RAUM +15% over the last fiscal year+8.1% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
RAUM per advisor
$103MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
143derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$280,280derivedRAUM over accounts (5.F.2.f)
Discretionary
97%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
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$246M60%
  • Individuals$161M39%
  • Corporations and businesses$5.3M1.3%
  • Charitable organizations$54,1770.0%
Individual clients
467reported
HNW clients
104reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
1,473reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Lee Michael Krumholz · Partnercontrol
      since 05/2016 · owns 50% to 75%
    • Creswell Andrew Todd · President / Ceocontrol
      since 05/2016 · owns 25% to 50%
    • James Lawrence Miller · Owner
      since 05/2016 · owns 5% to 10%
    • Jean Sarah Sutton · Chief Compliance Officer
      since 01/2022 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Reading, Pa000
    West Columbia, Sc · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Reading, PA2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,425 to 1,473
      Apr 25, 2023 to Mar 28, 2024
    • Advisory employees · 6 to 4
      Apr 25, 2023 to Mar 28, 2024
    • HNW clients · 105 to 104
      Apr 25, 2023 to Mar 28, 2024
    • Individual clients · 456 to 467
      Apr 25, 2023 to Mar 28, 2024
    • Employees · 10 to 8
      Apr 25, 2023 to Mar 28, 2024
    • Insurance-licensed employees · 0 to 4
      Apr 25, 2023 to Mar 28, 2024
    • State-registered IARs · 6 to 4
      Apr 25, 2023 to Mar 28, 2024
    • Discretionary RAUM · $358M to $402M
      Apr 25, 2023 to Mar 28, 2024
    • HNW RAUM · $226M to $246M
      Apr 25, 2023 to Mar 28, 2024
    • Individual RAUM · $128M to $161M
      Apr 25, 2023 to Mar 28, 2024
    • Non-discretionary RAUM · $0 to $10.6M
      Apr 25, 2023 to Mar 28, 2024
    • RAUM · $358M to $413M
      Apr 25, 2023 to Mar 28, 2024
    • Accounts · 1,393 to 1,425
      Jun 10, 2022 to Mar 31, 2023
    • Advisory employees · 7 to 6
      Jun 10, 2022 to Mar 31, 2023
    • BD registered reps · 4 to 5
      Jun 10, 2022 to Mar 31, 2023
    • HNW clients · 102 to 105
      Jun 10, 2022 to Mar 31, 2023
    • Individual clients · 459 to 456
      Jun 10, 2022 to Mar 31, 2023
    • Employees · 11 to 10
      Jun 10, 2022 to Mar 31, 2023
    • State-registered IARs · 7 to 6
      Jun 10, 2022 to Mar 31, 2023
    • Discretionary RAUM · $385M to $358M
      Jun 10, 2022 to Mar 31, 2023
    • HNW RAUM · $243M to $226M
      Jun 10, 2022 to Mar 31, 2023
    • Individual RAUM · $140M to $128M
      Jun 10, 2022 to Mar 31, 2023
    • RAUM · $385M to $358M
      Jun 10, 2022 to Mar 31, 2023
    • Business name · ASSET MANAGEMENT AND PLANNING, LLC to PRUDEO PARTNERS, LLC
      May 10, 2022 to Jun 10, 2022
    • Legal name · ASSET MANAGEMENT AND PLANNING, LLC to PRUDEO PARTNERS, LLC
      May 10, 2022 to Jun 10, 2022
    • Advisory employees · 8 to 7
      Mar 31, 2022 to May 10, 2022
    • BD registered reps · 2 to 4
      Mar 31, 2022 to May 10, 2022
    • State-registered IARs · 8 to 7
      Mar 31, 2022 to May 10, 2022
    • Accounts · 1,250 to 1,393
      Feb 23, 2022 to Mar 31, 2022
    • Advisory employees · 6 to 8
      Feb 23, 2022 to Mar 31, 2022
    • Charity clients · 2 to 1
      Feb 23, 2022 to Mar 31, 2022
    • HNW clients · 103 to 102
      Feb 23, 2022 to Mar 31, 2022
    • Individual clients · 431 to 459
      Feb 23, 2022 to Mar 31, 2022
    • Employees · 10 to 11
      Feb 23, 2022 to Mar 31, 2022
    • State-registered IARs · 6 to 8
      Feb 23, 2022 to Mar 31, 2022
    • Discretionary RAUM · $327M to $385M
      Feb 23, 2022 to Mar 31, 2022
    • HNW RAUM · $207M to $243M
      Feb 23, 2022 to Mar 31, 2022
    • Individual RAUM · $117M to $140M
      Feb 23, 2022 to Mar 31, 2022
    • RAUM · $327M to $385M
      Feb 23, 2022 to Mar 31, 2022
    • Accounts · 1,267 to 1,250
      Oct 28, 2020 to Mar 30, 2021
    Signals
    9 dated events
    • Sheila Elizabeth Little left Prudeo Partners, Llc for Perigon Wealth Management, Llc (registered 2024-02-12)
      Jun 17, 2024 · Advisor changed firm · fact
    • Michael Lee Krumholz left Prudeo Partners, Llc for Perigon Wealth Management, Llc (registered 2024-02-05)
      Jun 17, 2024 · Advisor changed firm · fact
    • Christian Lamar Tyler left Prudeo Partners, Llc for Apollon Wealth Management, Llc (registered 2023-10-11)
      Sep 12, 2023 · Advisor changed firm · fact
    • Jennifer Diane Kauffman left Prudeo Partners, Llc for Mma Securities Llc (registered 2025-03-18)
      Jun 6, 2022 · Advisor changed firm · fact
    • Sally Mcfarland (Chief Compliance Officer) no longer on Schedule A of Prudeo Partners, Llc (listed 2021-06-24, absent 2021-09-07)
      Sep 7, 2021 · Control person left · inference
    • Sally Mcfarland (Chief Compliance Officer) appeared on Schedule A of Prudeo Partners, Llc
      Mar 30, 2021 · Control person joined · fact
    • Samuel Frederick Jr. Joyce (Chief Compliance Officer) no longer on Schedule A of Prudeo Partners, Llc (listed 2020-08-12, absent 2020-10-02)
      Oct 2, 2020 · Control person left · inference
    • Prudeo Partners, Llc reported RAUM $286.8M, up 66% from $172.6M (2019-12-09 to 2020-03-27)
      Mar 27, 2020 · RAUM change · derived
    • Samuel Frederick Jr. Joyce (Chief Compliance Officer) appeared on Schedule A of Prudeo Partners, Llc
      Mar 27, 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