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

C••••••• S•••••• C•••••• L•••

Former SEC-registered adviserCRD 114925SEC 801-61453IAPD
Legal name C••••••• S•••••• C••••••• L••
Latest filing Nov 24, 2014
First filing on the tape Jan 26, 2012 · 11 filings
RAUM
$62.5M
reported, Item 5.F
Discretionary
0.0%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$94.0M as of Jan 31, 2014
Jan 26, 2012$104M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 31, 2014
Jan 26, 20120 then
Employees (5.A)1 as of Jan 31, 2014
Jan 28, 20131 then
Private funds: no history
RAUM -38% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Nov 24, 2014; every figure names its basis
RAUM per advisor
$62.5MderivedRAUM 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
$243,181derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.9%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, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • 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
257reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••••• F••••••• X••••• · President/Chief Compliance Officercontrol
        since 05/2001 · owns 75% or more
      • F••••••••• L•••••• D•••• · Co-Owner
        since 12/2002 · owns less than 5%
      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
      • Commission compensation · true to false
        Nov 24, 2014 to Nov 24, 2014
      • Accounts · 89 to 257
        Jun 5, 2014 to Oct 29, 2014
      • Advisory activities · 1 to 2
        Jun 5, 2014 to Oct 29, 2014
      • Financial planning clients · 0 to unset
        Jun 5, 2014 to Oct 29, 2014
      • Discretionary RAUM · $1.0M to $0
        Jun 5, 2014 to Oct 29, 2014
      • Non-discretionary RAUM · $93.0M to $62.5M
        Jun 5, 2014 to Oct 29, 2014
      • RAUM · $94.0M to $62.5M
        Jun 5, 2014 to Oct 29, 2014
      • Accounts · 84 to 89
        Jan 28, 2013 to Jan 31, 2014
      • Advisory activities · 2 to 1
        Jan 28, 2013 to Jan 31, 2014
      • Commission compensation · false to true
        Jan 28, 2013 to Jan 31, 2014
      • Assets in custody · unset to 0.0
        Jan 28, 2013 to Jan 31, 2014
      • Financial planning clients · unset to 0
        Jan 28, 2013 to Jan 31, 2014
      • Discretionary RAUM · $0 to $1.0M
        Jan 28, 2013 to Jan 31, 2014
      • Non-discretionary RAUM · $101M to $93.0M
        Jan 28, 2013 to Jan 31, 2014
      • RAUM · $101M to $94.0M
        Jan 28, 2013 to Jan 31, 2014
      • Accounts · 89 to 84
        Jan 26, 2012 to Jan 28, 2013
      • Advisory employees · unset to 1.0
        Jan 26, 2012 to Jan 28, 2013
      • Employees · unset to 1.0
        Jan 26, 2012 to Jan 28, 2013
      • State-registered IARs · 0 to 1
        Jan 26, 2012 to Jan 28, 2013
      • Discretionary RAUM · $2.0M to $0
        Jan 26, 2012 to Jan 28, 2013
      • Non-discretionary RAUM · $102M to $101M
        Jan 26, 2012 to Jan 28, 2013
      • RAUM · $104M to $101M
        Jan 26, 2012 to Jan 28, 2013
      • Accounts · 62 to 89
        Jan 26, 2012 to Jan 26, 2012
      • Discretionary RAUM · $0 to $2.0M
        Jan 26, 2012 to Jan 26, 2012
      • Non-discretionary RAUM · $85.0M to $102M
        Jan 26, 2012 to Jan 26, 2012
      • RAUM · $85.0M to $104M
        Jan 26, 2012 to Jan 26, 2012
      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