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•••••• P•••••••• M••••••••• L••

Former SEC-registered adviserLansing, MichiganCRD 119480SEC 801-67430IAPD
Latest filing Mar 13, 2015
First filing on the tape Mar 29, 2012 · 6 filings
RAUM
$68.6M
reported, Item 5.F
Discretionary
100%
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
6 filings and snapshots on the tape
RAUM$68.6M as of Mar 13, 2015
Mar 29, 2012$82.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 13, 2015
Mar 29, 20120 then
Employees (5.A)1 as of Mar 13, 2015
Mar 28, 20131 then
Private funds: no history
RAUM -3.9% over the last fiscal year-5.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 2015; every figure names its basis
RAUM per advisor
$68.6MderivedRAUM 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
$68.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-3.9%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
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
1reported
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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S•••••••• N•••••• A••• · Chief Compliance Officer
    since 01/2014 · owns less than 5%
Entity owners
  • C•••• L•• · Member
    direct · owns 75% or more
  • T•• R•••••• G••••• L•• · Member
    indirect · owns 75% or more of C••••, LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Discretionary RAUM · $71.4M to $68.6M
    Mar 28, 2014 to Mar 13, 2015
  • RAUM · $71.4M to $68.6M
    Mar 28, 2014 to Mar 13, 2015
  • Discretionary RAUM · $0 to $71.4M
    Jan 28, 2014 to Mar 28, 2014
  • Non-discretionary RAUM · $89.3M to $0
    Jan 28, 2014 to Mar 28, 2014
  • RAUM · $89.3M to $71.4M
    Jan 28, 2014 to Mar 28, 2014
  • Advisory employees · 0 to 1
    May 14, 2012 to Mar 28, 2013
  • BD registered reps · 0 to 1
    May 14, 2012 to Mar 28, 2013
  • Employees · unset to 1.0
    May 14, 2012 to Mar 28, 2013
  • State-registered IARs · 0 to 1
    May 14, 2012 to Mar 28, 2013
  • Non-discretionary RAUM · $82.4M to $89.3M
    May 14, 2012 to Mar 28, 2013
  • RAUM · $82.4M to $89.3M
    May 14, 2012 to Mar 28, 2013
  • Succession · true to false
    May 14, 2012 to Mar 28, 2013
  • Business name · P•••••• B••••••• • C••••••••• to P•••••• P•••••••• M••••••••• L••
    Mar 29, 2012 to May 14, 2012
  • Legal name · DARRIN FARROW & ASSOCIATES, LLC to P•••••• P•••••••• M••••••••• L••
    Mar 29, 2012 to May 14, 2012
  • Succession · false to true
    Mar 29, 2012 to May 14, 2012
Signals
1 dated events
  • P•••••• P•••••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    May 14, 2012 · Succession (Item 4) · 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