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
D••• S••• F••••••••• I•••
Latest filing Jan 21, 2021
First filing on the tape Mar 19, 2012 · 12 filings
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$126M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$126M as of Jan 21, 2021
Mar 19, 2012$66.0M then
HNW client RAUM: $67.3M
State-registered IARs (5.B.3): 5
Employees (5.A): 7
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 21, 2021; every figure names its basis
- RAUM per advisor
- $25.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $174,138derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $88.8M, 240 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$67.3M53%
- Individuals$59.0M47%
- Individual clients
- 245reported
- HNW clients
- 66reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 725reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $88.8M for 240 clientsreported
- 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••••• R•• S••• to B••••• P••••• A•••••••• L••May 18, 2021 · RIA to RIA
- M•••••• S•••• W•••• to B••••• P••••• A•••••••• L••Apr 22, 2021 · RIA to RIA
- H•••• R•••••• R•••••••• to B••••• P••••• A•••••••• L••Apr 21, 2021 · RIA to RIA
- K•••• A•• K•••• to B•• P•••••••• I•••Sep 21, 2015 · Other
- C•••••• D••••• M•••••• to M•••• W•••••Jan 6, 2014 · Other
Joined, latest
- K•••• A•• K•••• from N•• A•••••• S•••••••• L••Jan 27, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B••••• P••••• A•••••••• L••Apr 21, 2021 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• D•••••• R•• · Chief Compliance Officercontrolsince 10/1993 · owns 10% to 25%
- S•••• L•••• K••••••• · Ownercontrolsince 05/2004 · 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
- Accounts · 340 to 725Jul 15, 2020 to Jan 21, 2021
- HNW clients · 9 to 66Jul 15, 2020 to Jan 21, 2021
- Individual clients · 331 to 245Jul 15, 2020 to Jan 21, 2021
- Assets in custody · $62.2M to $88.8MJul 15, 2020 to Jan 21, 2021
- Discretionary RAUM · $110M to $126MJul 15, 2020 to Jan 21, 2021
- HNW RAUM · $16.1M to $67.3MJul 15, 2020 to Jan 21, 2021
- Individual RAUM · $94.1M to $59.0MJul 15, 2020 to Jan 21, 2021
- RAUM · $110M to $126MJul 15, 2020 to Jan 21, 2021
- Accounts · 825 to 340Jun 12, 2012 to Feb 12, 2020
- Advisory employees · unset to 5.0Jun 12, 2012 to Feb 12, 2020
- Advisory activities · 3 to 4Jun 12, 2012 to Feb 12, 2020
- BD registered reps · unset to 0.0Jun 12, 2012 to Feb 12, 2020
- HNW clients · unset to 9.0Jun 12, 2012 to Feb 12, 2020
- Individual clients · unset to 331.0Jun 12, 2012 to Feb 12, 2020
- Assets in custody · unset to 62168135.0Jun 12, 2012 to Feb 12, 2020
- Custody of client assets · false to trueJun 12, 2012 to Feb 12, 2020
- Employees · unset to 7.0Jun 12, 2012 to Feb 12, 2020
- Financial planning clients · 51-100 to 0Jun 12, 2012 to Feb 12, 2020
- State-registered IARs · unset to 5.0Jun 12, 2012 to Feb 12, 2020
- Other offices · unset to 0.0Jun 12, 2012 to Feb 12, 2020
- Discretionary RAUM · $66.0M to $110MJun 12, 2012 to Feb 12, 2020
- HNW RAUM · unset to 16101394.0Jun 12, 2012 to Feb 12, 2020
- Individual RAUM · unset to 94073933.0Jun 12, 2012 to Feb 12, 2020
- RAUM · $66.0M to $110MJun 12, 2012 to Feb 12, 2020
- Advisory activities · 2 to 3Mar 19, 2012 to Apr 23, 2012
Signals
1 dated events
- D••• S••• F••••••••• I••• filed its initial SEC registration (Form ADV)Feb 12, 2020 · First SEC registration · 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