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
Dickinson Investment Advisors
Legal name R.E. Dickinson Investment Advisors, LLC
Latest filing Feb 2, 2024
First filing on the tape Mar 9, 2012 · 29 filings
SEC status approved since Jun 30, 2015
RAUM
$373M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$370M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$373M as of Feb 2, 2024
Mar 9, 2012$63.5M then
HNW client RAUM$228M as of Feb 2, 2024
Mar 5, 2018$76.3M then
State-registered IARs (5.B.3)3 as of Feb 2, 2024
Mar 17, 20163 then
Employees (5.A)3 as of Feb 2, 2024
Mar 17, 20163 then
Private funds1 as of Mar 5, 2018
Mar 9, 20121 then
RAUM +15% over the last fiscal year+8.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 2, 2024; every figure names its basis
- RAUM per advisor
- $124MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 182derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $676,347derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$228M61%
- Individuals$142M38%
- Corporations and businesses$1.9M0.5%
- Pension and profit-sharing plans$1.5M0.4%
- Individual clients
- 440reported
- HNW clients
- 107reported
- Pension plan clients
- 7reported
- Charitable clients
- 0reported
- Accounts
- 552reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- David Lee Piatkowski to Waverly Advisors, LLCMar 20, 2025 · RIA to RIA
- Paul Michael Larkin to Waverly Advisors, LLCMar 20, 2025 · RIA to RIA
- Ronny Eugene Dickinson to Waverly Advisors, LLCMar 20, 2025 · RIA to RIA
- Cody James Forbush to Grimes & CompanySep 8, 2022 · RIA to RIA
Joined, latest
- Paul Michael Larkin from Mutual Of Omaha Investor Services, Inc.Nov 29, 2022 · RIA to RIA
- Cody James Forbush from Ts Capital, LLCNov 17, 2020 · Other
- David Lee Piatkowski from Advice And Planning ServicesAug 24, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Waverly Advisors, LLCMar 20, 2025 · Council Bluffs, Ia · Firm absorbed
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Dickinson-Phoenix II, LLCno longer reported | Real Estate Fund | $948,980 | 13 | May 21, 2015 |
| Dickinson-Phoenix I, LLCno longer reported | Real Estate Fund | $780,734 | 8 | Mar 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Lee David Piatkowski · Partner - Managing Member & Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- Eugene Ronny Dickinson · Membercontrolsince 01/2024 · owns 50% to 75% of Dickinson Holdings, Inc.
- Lee David Piatkowski · Partner, Managing Member & Chief Compliance Officercontrolsince 01/2024 · owns 25% to 50% of Piatkowski Holdings, Inc.
- Eugene Ronny Dickinson · Membersince 01/2024 · owns less than 5%
Entity owners
- Dickinson Holdings, Inc. · Holding Companydirect · owns 50% to 75%
- Piatkowski Holdings, Inc. · Holding Companydirect · owns 25% to 50%
Related persons
Schedule D 7.A
- Ron E Dickinsoninsurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Council Bluffs, Ia · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 538 to 552Sep 11, 2023 to Feb 2, 2024
- Corporate clients · 4 to 5Sep 11, 2023 to Feb 2, 2024
- HNW clients · 104 to 107Sep 11, 2023 to Feb 2, 2024
- Individual clients · 426 to 440Sep 11, 2023 to Feb 2, 2024
- Pension plan clients · 4 to 7Sep 11, 2023 to Feb 2, 2024
- Financial planning clients · 51-100 to 11-25Sep 11, 2023 to Feb 2, 2024
- Discretionary RAUM · $16.0M to $353MSep 11, 2023 to Feb 2, 2024
- HNW RAUM · $194M to $228MSep 11, 2023 to Feb 2, 2024
- Individual RAUM · $127M to $142MSep 11, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $308M to $19.9MSep 11, 2023 to Feb 2, 2024
- Pension RAUM · $1.2M to $1.5MSep 11, 2023 to Feb 2, 2024
- RAUM · $324M to $373MSep 11, 2023 to Feb 2, 2024
- Accounts · 532 to 538Oct 10, 2022 to Mar 3, 2023
- Advisory employees · 2 to 3Oct 10, 2022 to Mar 3, 2023
- HNW clients · 105 to 104Oct 10, 2022 to Mar 3, 2023
- Individual clients · 419 to 426Oct 10, 2022 to Mar 3, 2023
- Employees · 2 to 3Oct 10, 2022 to Mar 3, 2023
- Financial planning clients · 101-250 to 51-100Oct 10, 2022 to Mar 3, 2023
- State-registered IARs · 2 to 3Oct 10, 2022 to Mar 3, 2023
- Discretionary RAUM · $339M to $16.0MOct 10, 2022 to Mar 3, 2023
- HNW RAUM · $222M to $194MOct 10, 2022 to Mar 3, 2023
- Individual RAUM · $136M to $127MOct 10, 2022 to Mar 3, 2023
- Non-discretionary RAUM · $22.5M to $308MOct 10, 2022 to Mar 3, 2023
- Pension RAUM · $1.3M to $1.2MOct 10, 2022 to Mar 3, 2023
- RAUM · $362M to $324MOct 10, 2022 to Mar 3, 2023
- Advisory employees · 3 to 2Mar 25, 2022 to Oct 10, 2022
- Employees · 3 to 2Mar 25, 2022 to Oct 10, 2022
- State-registered IARs · 3 to 2Mar 25, 2022 to Oct 10, 2022
- Accounts · 508 to 532Jul 23, 2021 to Jan 31, 2022
- Advisory employees · 4 to 3Jul 23, 2021 to Jan 31, 2022
- HNW clients · 89 to 105Jul 23, 2021 to Jan 31, 2022
- Individual clients · 412 to 419Jul 23, 2021 to Jan 31, 2022
- Pension plan clients · 3 to 4Jul 23, 2021 to Jan 31, 2022
- Employees · 4 to 3Jul 23, 2021 to Jan 31, 2022
- Financial planning clients · 51-100 to 101-250Jul 23, 2021 to Jan 31, 2022
- State-registered IARs · 4 to 3Jul 23, 2021 to Jan 31, 2022
- Discretionary RAUM · $274M to $339MJul 23, 2021 to Jan 31, 2022
- HNW RAUM · $180M to $222MJul 23, 2021 to Jan 31, 2022
- Individual RAUM · $109M to $136MJul 23, 2021 to Jan 31, 2022
- Non-discretionary RAUM · $18.1M to $22.5MJul 23, 2021 to Jan 31, 2022
Signals
7 dated events
- Dickinson Investment Advisors no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $373.3M)May 2, 2025 · Left the SEC roster · derived
- Paul Michael Larkin left Dickinson Investment Advisors for Waverly Advisors, Llc (registered 2025-01-10)Mar 20, 2025 · Advisor changed firm · fact
- David Lee Piatkowski left Dickinson Investment Advisors for Waverly Advisors, Llc (registered 2025-01-10)Mar 20, 2025 · Advisor changed firm · fact
- Ronny Eugene Dickinson left Dickinson Investment Advisors for Waverly Advisors, Llc (registered 2025-01-10)Mar 20, 2025 · Advisor changed firm · fact
- Dickinson Investment Advisors's advisors moved to Waverly Advisors, LLC (Council Bluffs, IA): 3 of 3 registered, on the same dayMar 20, 2025 · Firm absorbed (people side) · derived
- Cody James Forbush left Dickinson Investment Advisors for Grimes & Company (registered 2022-09-07)Sep 8, 2022 · Advisor changed firm · fact
- Dickinson Investment Advisors filed its initial SEC registration (Form ADV)May 21, 2015 · 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
Across the graphs
Dickinson Investment Advisors is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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