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
I••••••••• P•••••••• C••••••••• I•••
Latest filing Nov 8, 2017
First filing on the tape Dec 8, 2011 · 33 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
18%
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
15
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$2.0B as of Mar 31, 2017
Mar 30, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)23 as of Mar 31, 2017
Mar 26, 20132 then
Employees (5.A)38 as of Mar 31, 2017
Mar 26, 201336 then
Private funds: no history
RAUM -0.6% over the last fiscal year-0.9% a year over threeIARs 26 to 1
Practice profile
derived from the filing of Nov 8, 2017; every figure names its basis
- RAUM per advisor
- $2.0BderivedRAUM 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
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 18%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 15.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -12%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.0BreportedItem 5.I
- Custody
- $2.0B, 500 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
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
- 1,120reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $1.0B sponsored, $0 managedreported
- Custody of client assets
- $2.0B for 500 clientsreported
- 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
- E••••• T••••••• K••• to O••••••••• • C•• I•••Dec 31, 2017 · Other
- V••••• V••••• S•••••• to O•••• F•• I•••Dec 31, 2017 · Other
- D•••• K••• to I•••••• C•••••• A•••••••Dec 31, 2017 · Other
- A••• D••• B••• to A•••••• I•••Sep 21, 2017 · Other
- F•••••••• S••••• J••••• J•• to M•••• M•••••• I•••Sep 21, 2017 · Other
- K•••••••• J••••••• C••••••• to L•••• C•••••• M••••••••• I•••Aug 4, 2017 · Other
- J••••••• W••••• H••••• to S•• W•••••Mar 9, 2017 · Other
- E•••• M••••• to O•••• F•• I•••Mar 7, 2017 · Other
- C••••• L••• U•••••••• to O••••••••• • C•• I•••Jan 25, 2017 · Other
- M••• N•••••• L••••••• to M••••• S••••••Jan 6, 2017 · Other
- J••• B••• W•••••••• to A•••••• I•••Nov 16, 2016 · Other
- K•••• R••••••• to I•• P•••••• W••••• P•••••••• L••Sep 9, 2016 · Other
- C••• D•••• R••••••• to M•• S••••••••• I•••Jun 29, 2016 · Other
- M••• E•••••••• F••••• to E•••••• P•••••••• L••Jun 30, 2015 · Other
- K••••••• F•••• S••••• to S••• A••••••• S••••••• L•• C•Sep 30, 2014 · Other
Joined, latest
- K•••• R••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 15, 2016 · Other
- C••• D•••• R••••••• from R•••• S•••••••• • A••••••••• L••Dec 11, 2014 · Other
- M••• E•••••••• F••••• from S•••••••• S••••••••• L••Jul 8, 2014 · Other
- M••• N•••••• L••••••• from M••••• S••••••Jun 7, 2013 · Other
- D•••• K••• from K••• F•••••••• S•••••••Jan 17, 2013 · Other
- E•••• M••••• from C•••••••• G••••• M•••••• I•••Apr 26, 2010 · Other
- V••••• V••••• S•••••• from J•••• • L••••• S••••••••• C•••Feb 17, 2009 · Other
- C•••• A•• M•••••• from A•••••• I•••Oct 1, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• A•••• D••• · Vice Chairmancontrolsince 10/2016 · owns 50% to 75%
- F••••••• M••••••• A••••• · Chief Executive Officer, Director & Ccocontrolsince 08/2017 · owns less than 5%
- H•••••••• M••••••• K••• · Board Membercontrolsince 08/2016 · owns less than 5%
- J••••• J••• F••••••••• S••••• · Treasurer, Secretary & Executive Vice Presidentcontrolsince 02/2005 · owns 25% to 50%
- K•••• A••• · President & Chief Operating Officer & Chief Investment Officercontrolsince 10/2016 · owns less than 5%
- K•••••••• D••••• R••••• · Vice Presidentcontrolsince 11/2001 · owns 25% to 50%
- M••••••••• J•••• D•••• · National Sales M••••••controlsince 01/2015 · owns less than 5%
Related persons
Schedule D 7.A
- B••• S••••• C•••••• M••••••••• L••investment adviseryRAUM $25.5M
- I•• P•••••• W••••• P•••••••• L••investment adviseryRAUM $4.7M
Advisers that list I••••••••• P•••••••• C••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 18 to 6Aug 21, 2017 to Nov 8, 2017
- BD registered reps · 20 to 5Aug 21, 2017 to Nov 8, 2017
- Employees · 38 to 15Aug 21, 2017 to Nov 8, 2017
- State-registered IARs · 23 to 1Aug 21, 2017 to Nov 8, 2017
- Other offices · unset to 1.0Aug 21, 2017 to Nov 8, 2017
- Wrap assets (manager) · unset to 0.0Aug 21, 2017 to Nov 8, 2017
- Wrap assets (sponsor) · unset to 1000000000.0Aug 21, 2017 to Nov 8, 2017
- Accounts · 1,231 to 1,120Mar 13, 2017 to Mar 31, 2017
- Advisory employees · 21 to 18Mar 13, 2017 to Mar 31, 2017
- BD registered reps · 22 to 20Mar 13, 2017 to Mar 31, 2017
- Assets in custody · $2.1B to $2.0BMar 13, 2017 to Mar 31, 2017
- Employees · 41 to 38Mar 13, 2017 to Mar 31, 2017
- Insurance-licensed employees · 1 to 2Mar 13, 2017 to Mar 31, 2017
- State-registered IARs · 26 to 23Mar 13, 2017 to Mar 31, 2017
- Discretionary RAUM · $393M to $378MMar 13, 2017 to Mar 31, 2017
- Non-discretionary RAUM · $1.7B to $1.7BMar 13, 2017 to Mar 31, 2017
- RAUM · $2.1B to $2.0BMar 13, 2017 to Mar 31, 2017
- Accounts · 1,246 to 1,231Oct 13, 2015 to Mar 31, 2016
- Advisory employees · 22 to 21Oct 13, 2015 to Mar 31, 2016
- BD registered reps · 24 to 22Oct 13, 2015 to Mar 31, 2016
- Assets in custody · $2.1B to $2.1BOct 13, 2015 to Mar 31, 2016
- Insurance-licensed employees · 25 to 1Oct 13, 2015 to Mar 31, 2016
- State-registered IARs · 25 to 26Oct 13, 2015 to Mar 31, 2016
- Discretionary RAUM · $574M to $393MOct 13, 2015 to Mar 31, 2016
- Non-discretionary RAUM · $1.8B to $1.7BOct 13, 2015 to Mar 31, 2016
- RAUM · $2.4B to $2.1BOct 13, 2015 to Mar 31, 2016
- Accounts · 1,277 to 1,246Feb 17, 2015 to Mar 31, 2015
- Discretionary RAUM · $384M to $574MFeb 17, 2015 to Mar 31, 2015
- Non-discretionary RAUM · $1.7B to $1.8BFeb 17, 2015 to Mar 31, 2015
- RAUM · $2.1B to $2.4BFeb 17, 2015 to Mar 31, 2015
- Advisory employees · 18 to 22Nov 13, 2014 to Jan 16, 2015
- Employees · 37 to 41Nov 13, 2014 to Jan 16, 2015
- Insurance-licensed employees · 0 to 25Nov 13, 2014 to Jan 16, 2015
- State-registered IARs · 2 to 25Nov 13, 2014 to Jan 16, 2015
- Related adviser · false to trueNov 13, 2014 to Jan 16, 2015
- Accounts · 1,292 to 1,277Jun 27, 2013 to Feb 7, 2014
- Advisory employees · 16 to 18Jun 27, 2013 to Feb 7, 2014
- BD registered reps · 25 to 24Jun 27, 2013 to Feb 7, 2014
- Assets in custody · $2.0B to $2.1BJun 27, 2013 to Feb 7, 2014
- Employees · 36 to 37Jun 27, 2013 to Feb 7, 2014
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