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
O••••••• I••••••••• W••••• M••••••••• L••
Latest filing May 29, 2019
First filing on the tape Jan 11, 2012 · 15 filings
RAUM
$302M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$302M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 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$302M as of Jan 25, 2019
Apr 12, 2012$190M then
HNW client RAUM$267M as of Jan 25, 2019
Jan 29, 2018$71.7M then
State-registered IARs (5.B.3)0 as of Jan 25, 2019
Mar 26, 20135 then
Employees (5.A)5 as of Jan 25, 2019
Mar 26, 20135 then
Private funds: no history
RAUM -5.5% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 29, 2019; 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
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $297,319derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- -5.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $21.8M, 19 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$267M88%
- Individuals$35.1M12%
- Individual clients
- 120reported
- HNW clients
- 129reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 1,015reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.8M for 19 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
- R••• R•••• B••••• to C••••••• P•••••••Jan 2, 2020 · RIA to RIA
- W••••• D••• B•••••• to C••••••• P•••••••Jan 2, 2020 · RIA to RIA
- L••••••• D• S•••••• to M••••• G••••• A••••••• I•••Apr 25, 2019 · RIA to RIA
- E•••••••• L••••• C•••• to H••••••• F•••••••• L••Apr 14, 2011 · Other
Joined, latest
- L••••••• D• S•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 14, 2011 · Other
- R••• R•••• B••••• from F••••• F•••••••• A••••••• S•••••••• I•••Nov 10, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••• P•••••••Jan 2, 2020 · Mclean, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• W•••••• D••• · Chief Compliance Officercontrolsince 06/2001 · owns 50% to 75%
- C••••• I••••• M••• · Principal And Managercontrolsince 01/1996 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••• • B••••••• P•custodiany
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Jan 25, 2019 to May 29, 2019
- Employees · 5 to 2Jan 25, 2019 to May 29, 2019
- Accounts · 940 to 1,015Jan 29, 2018 to Jan 25, 2019
- HNW clients · 139 to 129Jan 29, 2018 to Jan 25, 2019
- Individual clients · 85 to 120Jan 29, 2018 to Jan 25, 2019
- Pension plan clients · 0 to 2Jan 29, 2018 to Jan 25, 2019
- Assets in custody · $20.7M to $21.8MJan 29, 2018 to Jan 25, 2019
- Discretionary RAUM · $277M to $268MJan 29, 2018 to Jan 25, 2019
- HNW RAUM · $71.7M to $267MJan 29, 2018 to Jan 25, 2019
- Individual RAUM · $248M to $35.1MJan 29, 2018 to Jan 25, 2019
- Non-discretionary RAUM · $42.0M to $33.9MJan 29, 2018 to Jan 25, 2019
- RAUM · $319M to $302MJan 29, 2018 to Jan 25, 2019
- Accounts · 941 to 940Feb 24, 2017 to Jan 29, 2018
- Advisory activities · 4 to 5Feb 24, 2017 to Jan 29, 2018
- Charity clients · unset to 0.0Feb 24, 2017 to Jan 29, 2018
- Corporate clients · unset to 0.0Feb 24, 2017 to Jan 29, 2018
- HNW clients · unset to 139.0Feb 24, 2017 to Jan 29, 2018
- Individual clients · unset to 85.0Feb 24, 2017 to Jan 29, 2018
- Pension plan clients · unset to 0.0Feb 24, 2017 to Jan 29, 2018
- Pooled vehicle clients · unset to 0.0Feb 24, 2017 to Jan 29, 2018
- Assets in custody · $15.3M to $20.7MFeb 24, 2017 to Jan 29, 2018
- Other offices · unset to 0.0Feb 24, 2017 to Jan 29, 2018
- Discretionary RAUM · $230M to $277MFeb 24, 2017 to Jan 29, 2018
- HNW RAUM · unset to 71735407.0Feb 24, 2017 to Jan 29, 2018
- Individual RAUM · unset to 247638946.0Feb 24, 2017 to Jan 29, 2018
- Non-discretionary RAUM · $41.9M to $42.0MFeb 24, 2017 to Jan 29, 2018
- Pension RAUM · unset to 0.0Feb 24, 2017 to Jan 29, 2018
- Pooled vehicle RAUM · unset to 0.0Feb 24, 2017 to Jan 29, 2018
- RAUM · $272M to $319MFeb 24, 2017 to Jan 29, 2018
- Accounts · 1,000 to 941Feb 8, 2016 to Feb 24, 2017
- Assets in custody · $9.6M to $15.3MFeb 8, 2016 to Feb 24, 2017
- Discretionary RAUM · $76.3M to $230MFeb 8, 2016 to Feb 24, 2017
- Non-discretionary RAUM · $168M to $41.9MFeb 8, 2016 to Feb 24, 2017
- RAUM · $244M to $272MFeb 8, 2016 to Feb 24, 2017
- Accounts · 1,087 to 1,000Jun 17, 2015 to Feb 8, 2016
- Advisory employees · 1 to 3Jun 17, 2015 to Feb 8, 2016
- Assets in custody · $8.1M to $9.6MJun 17, 2015 to Feb 8, 2016
- Discretionary RAUM · $95.5M to $76.3MJun 17, 2015 to Feb 8, 2016
- Non-discretionary RAUM · $152M to $168MJun 17, 2015 to Feb 8, 2016
- RAUM · $248M to $244MJun 17, 2015 to Feb 8, 2016
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