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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SEC-registered adviser
R•••••• C••••••••• • R•••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 15 filings
SEC status approved since May 13, 2011
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 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$0 as of Mar 31, 2026
Mar 30, 2012$0 then
HNW client RAUM$0 as of Mar 31, 2026
Mar 13, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Mar 31, 2026
Mar 12, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $0derivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- pension consulting, otherreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- 20reported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- C••••• D••••• · Chief Executive Officer/Chief Compliance Officercontrolsince 08/1998 · 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
- Pension plan clients · 22 to 20Mar 26, 2025 to Mar 31, 2026
- Accounts · unset to 0.0Mar 28, 2024 to Mar 26, 2025
- Pension plan clients · 27 to 22Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 26, 2025
- HQ city · unset to Mar 28, 2024 to Mar 26, 2025
- HQ state · unset to Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · unset to 0.0Mar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · unset to 0.0Mar 28, 2024 to Mar 26, 2025
- RAUM · unset to 0.0Mar 28, 2024 to Mar 26, 2025
- Pension plan clients · 29 to 27Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 31 to 29Mar 30, 2022 to Mar 31, 2023
- Pension plan clients · 30 to 31Jul 19, 2021 to Mar 30, 2022
- Pension plan clients · 32 to 30Apr 30, 2020 to Jun 2, 2021
- Corporate clients · unset to 1.0Mar 29, 2019 to Apr 30, 2020
- HNW clients · unset to 2.0Mar 29, 2019 to Apr 30, 2020
- Pension plan clients · 27 to 32Mar 29, 2019 to Apr 30, 2020
- Pension plan clients · 25 to 27Mar 13, 2018 to Mar 29, 2019
- Pension plan clients · unset to 25.0Mar 31, 2017 to Mar 13, 2018
- Pooled vehicle clients · unset to 0.0Mar 31, 2017 to Mar 13, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 13, 2018
- HNW RAUM · unset to 0.0Mar 31, 2017 to Mar 13, 2018
- Individual RAUM · unset to 0.0Mar 31, 2017 to Mar 13, 2018
- Pension RAUM · unset to 0.0Mar 31, 2017 to Mar 13, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 31, 2017 to Mar 13, 2018
- Advisory activities · 4 to 2Mar 30, 2016 to Mar 31, 2017
- Financial planning clients · 1-10 to unsetMar 30, 2016 to Mar 31, 2017
- HQ city · KINGSTON to unsetMar 27, 2014 to Mar 30, 2016
- HQ state · WA to unsetMar 27, 2014 to Mar 30, 2016
- Financial planning clients · 0 to 1-10Mar 12, 2013 to Mar 27, 2014
- Accounts · 0.0 to unsetMar 30, 2012 to Mar 12, 2013
- Advisory employees · unset to 1.0Mar 30, 2012 to Mar 12, 2013
- Employees · unset to 1.0Mar 30, 2012 to Mar 12, 2013
- Discretionary RAUM · 0.0 to unsetMar 30, 2012 to Mar 12, 2013
- Non-discretionary RAUM · 0.0 to unsetMar 30, 2012 to Mar 12, 2013
- RAUM · 0.0 to unsetMar 30, 2012 to Mar 12, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 877-855-8172reportedpublic record, Form ADV, Mar 31, 2026
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
- No RAUM reportedderiveda 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