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

P••••••• W••••• M••••••••• L••

Former SEC-registered adviserCRD 116636SEC 801-61796IAPD
Latest filing Mar 24, 2017
First filing on the tape Mar 17, 2012 · 6 filings
RAUM
$163M
reported, Item 5.F
Discretionary
62%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$163M as of Mar 24, 2017
Mar 17, 2012$114M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2017
Mar 17, 20120 then
Employees (5.A)2 as of Mar 24, 2017
Mar 25, 20132 then
Private funds: no history
RAUM -0.5% over the last fiscal year+2.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2017; 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
unknownderivedHNW RAUM over HNW clients
Average account
$9.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
62%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
-0.5%derivedbetween 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, hourlyreportedItem 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
  • 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)
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
18reported
Financial planning clients
1-10reported
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
      • S••••• K•••• · Owner/Chief Compliance Officercontrol
        since 12/1997 · 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
      • Discretionary RAUM · $103M to $102M
        Mar 15, 2016 to Mar 24, 2017
      • Non-discretionary RAUM · $61.7M to $61.6M
        Mar 15, 2016 to Mar 24, 2017
      • RAUM · $164M to $163M
        Mar 15, 2016 to Mar 24, 2017
      • Discretionary RAUM · $88.8M to $103M
        Mar 3, 2015 to Mar 15, 2016
      • Non-discretionary RAUM · $74.7M to $61.7M
        Mar 3, 2015 to Mar 15, 2016
      • RAUM · $164M to $164M
        Mar 3, 2015 to Mar 15, 2016
      • Discretionary RAUM · $83.7M to $88.8M
        Feb 21, 2014 to Mar 3, 2015
      • Non-discretionary RAUM · $67.3M to $74.7M
        Feb 21, 2014 to Mar 3, 2015
      • RAUM · $151M to $164M
        Feb 21, 2014 to Mar 3, 2015
      • Discretionary RAUM · $76.8M to $83.7M
        Mar 25, 2013 to Feb 21, 2014
      • Non-discretionary RAUM · $57.0M to $67.3M
        Mar 25, 2013 to Feb 21, 2014
      • RAUM · $134M to $151M
        Mar 25, 2013 to Feb 21, 2014
      • Accounts · 8 to 18
        Mar 17, 2012 to Mar 25, 2013
      • Advisory employees · unset to 2.0
        Mar 17, 2012 to Mar 25, 2013
      • Employees · unset to 2.0
        Mar 17, 2012 to Mar 25, 2013
      • Discretionary RAUM · $114M to $76.8M
        Mar 17, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $0 to $57.0M
        Mar 17, 2012 to Mar 25, 2013
      • RAUM · $114M to $134M
        Mar 17, 2012 to Mar 25, 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.
      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