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•••••• C•••••• M••••••••• I•••
Latest filing Feb 27, 2023
First filing on the tape Feb 15, 2012 · 25 filings
RAUM
$200M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
85%
$171M 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
25 filings and snapshots on the tape
RAUM$200M as of Feb 27, 2023
Feb 15, 2012$108M then
HNW client RAUM$166M as of Feb 27, 2023
Jan 5, 2018$94.7M then
State-registered IARs (5.B.3)2 as of Feb 27, 2023
Feb 15, 20120 then
Employees (5.A)2 as of Feb 27, 2023
Feb 11, 20132 then
Private funds1 as of Mar 31, 2020
Feb 15, 20121 then
RAUM -8.2% over the last fiscal year+10% a year over threeIARs 3 to 2offices 1 to 0
Practice profile
derived from the filing of Feb 27, 2023; every figure names its basis
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $622,512derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Custody
- $65.0M, 42 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$166M83%
- Pension and profit-sharing plans$26.9M13%
- Individuals$4.8M2.4%
- Corporations and businesses$1.6M0.8%
- Charitable organizations$720,7830.4%
- Individual clients
- 7reported
- HNW clients
- 47reported
- Pension plan clients
- 12reported
- Charitable clients
- 2reported
- Accounts
- 322reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.0M for 42 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
- C•••••• J••••• R•••• to G••••• W••••• M••••••••• I•••Oct 25, 2023 · Other
- S••••• E•••• R•••• to B••••• P••••• A•••••••• L••Oct 18, 2023 · RIA to RIA
Joined, latest
- C•••••• J••••• R•••• from P•••••• C••••••••• G••••• I•••Apr 7, 2009 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• R••• R••••• F•••• L•no longer reported | Other Private Fund | $1.0M | 19 | Feb 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- R••••• C••••••• J••••• · Ceocontrolsince 04/2002 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Larkspur, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 311 to 322Feb 10, 2022 to Feb 27, 2023
- Advisory employees · 3 to 2Feb 10, 2022 to Feb 27, 2023
- Corporate clients · 1 to 2Feb 10, 2022 to Feb 27, 2023
- HNW clients · 44 to 47Feb 10, 2022 to Feb 27, 2023
- Individual clients · 6 to 7Feb 10, 2022 to Feb 27, 2023
- Pension plan clients · 8 to 12Feb 10, 2022 to Feb 27, 2023
- Assets in custody · $33.2M to $65.0MFeb 10, 2022 to Feb 27, 2023
- Employees · 3 to 2Feb 10, 2022 to Feb 27, 2023
- Insurance-licensed employees · 1 to 0Feb 10, 2022 to Feb 27, 2023
- State-registered IARs · 3 to 2Feb 10, 2022 to Feb 27, 2023
- Other offices · 1 to 0Feb 10, 2022 to Feb 27, 2023
- Discretionary RAUM · $199M to $188MFeb 10, 2022 to Feb 27, 2023
- HNW RAUM · $187M to $166MFeb 10, 2022 to Feb 27, 2023
- Individual RAUM · $3.0M to $4.8MFeb 10, 2022 to Feb 27, 2023
- Non-discretionary RAUM · $19.7M to $12.8MFeb 10, 2022 to Feb 27, 2023
- Pension RAUM · $26.7M to $26.9MFeb 10, 2022 to Feb 27, 2023
- RAUM · $218M to $200MFeb 10, 2022 to Feb 27, 2023
- Accounts · 282 to 311May 19, 2021 to Feb 10, 2022
- HNW clients · 40 to 44May 19, 2021 to Feb 10, 2022
- Individual clients · 7 to 6May 19, 2021 to Feb 10, 2022
- Assets in custody · $23.0M to $33.2MMay 19, 2021 to Feb 10, 2022
- Discretionary RAUM · $144M to $199MMay 19, 2021 to Feb 10, 2022
- HNW RAUM · $131M to $187MMay 19, 2021 to Feb 10, 2022
- Individual RAUM · $4.5M to $3.0MMay 19, 2021 to Feb 10, 2022
- Non-discretionary RAUM · $17.8M to $19.7MMay 19, 2021 to Feb 10, 2022
- Pension RAUM · $24.1M to $26.7MMay 19, 2021 to Feb 10, 2022
- RAUM · $161M to $218MMay 19, 2021 to Feb 10, 2022
- Accounts · 268 to 282Jun 19, 2020 to Mar 10, 2021
- Advisory employees · 2 to 3Jun 19, 2020 to Mar 10, 2021
- Advisory activities · 9 to 8Jun 19, 2020 to Mar 10, 2021
- Charity clients · 1 to 2Jun 19, 2020 to Mar 10, 2021
- Corporate clients · 3 to 1Jun 19, 2020 to Mar 10, 2021
- HNW clients · 42 to 40Jun 19, 2020 to Mar 10, 2021
- Individual clients · 6 to 7Jun 19, 2020 to Mar 10, 2021
- Pension plan clients · 9 to 8Jun 19, 2020 to Mar 10, 2021
- Pooled vehicle clients · 1.0 to unsetJun 19, 2020 to Mar 10, 2021
- Assets in custody · $675,000 to $23.0MJun 19, 2020 to Mar 10, 2021
- Financial planning clients · 26-50 to 51-100Jun 19, 2020 to Mar 10, 2021
- State-registered IARs · 2 to 3Jun 19, 2020 to Mar 10, 2021
- Private funds · 1 to unsetJun 19, 2020 to Mar 10, 2021
Signals
3 dated events
- C•••••• J••••• R•••• left P•••••• C•••••• M••••••••• I••• for G••••• W••••• M••••••••• I••• (registered 2011-01-05)Oct 25, 2023 · Advisor changed firm · fact
- S••••• E•••• R•••• left P•••••• C•••••• M••••••••• I••• for B••••• P••••• A•••••••• L•• (registered 2026-02-23)Oct 18, 2023 · Advisor changed firm · fact
- James Henry Moore no longer registered at P•••••• C•••••• M••••••••• I•••; no later IA registration on IAPDFeb 23, 2023 · Advisor departure · 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