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
F•••••••• I••••••••• R••••••• • M••••••••• L••
Latest filing Sep 12, 2014
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$66.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$33.1M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$66.2M as of Mar 12, 2014
Mar 29, 2012$53.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 12, 2014
Mar 14, 20134 then
Employees (5.A)5 as of Mar 12, 2014
Mar 14, 20137 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 4 to 2
Practice profile
derived from the filing of Sep 12, 2014; every figure names its basis
- RAUM per advisor
- $33.1MderivedRAUM 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
- $167,549derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 395reported
- Financial planning clients
- n/areported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• M•••••• C•••••••• | Burbank, Ca | Jan 1, 2000 | 36 y | 0 |
| B•••••• L••• H•••Certified Financial Planner | Coralville, Ia | Sep 17, 2018 | 26 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- B•••••• L••• H••• from S••••••••• W••••• M•••••••••Sep 17, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J•••• M•••••• · President/Chief Compliance Officercontrolsince 10/1999 · owns 75% or more
- C••••••••• T•••••• S•• · Membersince 10/1999 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coralville, Ia · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 400 to 395Mar 14, 2013 to Mar 12, 2014
- Advisory employees · 4 to 2Mar 14, 2013 to Mar 12, 2014
- Employees · 7 to 5Mar 14, 2013 to Mar 12, 2014
- State-registered IARs · 4 to 2Mar 14, 2013 to Mar 12, 2014
- Discretionary RAUM · $59.7M to $66.2MMar 14, 2013 to Mar 12, 2014
- RAUM · $59.7M to $66.2MMar 14, 2013 to Mar 12, 2014
- Accounts · 397 to 400Mar 29, 2012 to Mar 14, 2013
- Advisory employees · unset to 4.0Mar 29, 2012 to Mar 14, 2013
- Advisory activities · 2 to 1Mar 29, 2012 to Mar 14, 2013
- Employees · unset to 7.0Mar 29, 2012 to Mar 14, 2013
- State-registered IARs · unset to 4.0Mar 29, 2012 to Mar 14, 2013
- Discretionary RAUM · $53.9M to $59.7MMar 29, 2012 to Mar 14, 2013
- RAUM · $53.9M to $59.7MMar 29, 2012 to Mar 14, 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
- Website
- pursuitwm.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026