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

A• F••• L••• A•••• M••••••••• C••••••• L••

Former SEC-registered adviserCRD 120720SEC 801-76428IAPD
Latest filing Mar 15, 2016
First filing on the tape Apr 3, 2012 · 5 filings
RAUM
$9.9M
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
5 filings and snapshots on the tape
RAUM$9.9M as of Mar 15, 2016
Mar 25, 2013$137M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2016
Mar 25, 20131 then
Employees (5.A)1 as of Mar 15, 2016
Mar 25, 20131 then
Private funds: no history
RAUM -90% over the last fiscal year-58% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2016; 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
$9.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-90%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, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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)
  • 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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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•••••••• E••••••••• A•• · Member/Manager/Chief Compliance Officercontrol
        since 04/2002 · 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
      • Accounts · 20 to 1
        Mar 18, 2015 to Mar 15, 2016
      • Discretionary RAUM · $62.0M to $9.9M
        Mar 18, 2015 to Mar 15, 2016
      • Non-discretionary RAUM · $39.0M to $0
        Mar 18, 2015 to Mar 15, 2016
      • RAUM · $101M to $9.9M
        Mar 18, 2015 to Mar 15, 2016
      • Accounts · 43 to 20
        Mar 19, 2014 to Mar 18, 2015
      • State-registered IARs · 1 to 0
        Mar 19, 2014 to Mar 18, 2015
      • Discretionary RAUM · $84.0M to $62.0M
        Mar 19, 2014 to Mar 18, 2015
      • Non-discretionary RAUM · $41.0M to $39.0M
        Mar 19, 2014 to Mar 18, 2015
      • RAUM · $125M to $101M
        Mar 19, 2014 to Mar 18, 2015
      • Accounts · 40 to 43
        Mar 25, 2013 to Mar 19, 2014
      • Discretionary RAUM · $105M to $84.0M
        Mar 25, 2013 to Mar 19, 2014
      • Non-discretionary RAUM · $32.0M to $41.0M
        Mar 25, 2013 to Mar 19, 2014
      • RAUM · $137M to $125M
        Mar 25, 2013 to Mar 19, 2014
      • Accounts · 33 to 40
        Apr 3, 2012 to Mar 25, 2013
      • Advisory employees · unset to 1.0
        Apr 3, 2012 to Mar 25, 2013
      • Advisory activities · 3 to 4
        Apr 3, 2012 to Mar 25, 2013
      • Employees · unset to 1.0
        Apr 3, 2012 to Mar 25, 2013
      • State-registered IARs · 0 to 1
        Apr 3, 2012 to Mar 25, 2013
      • Discretionary RAUM · $101M to $105M
        Apr 3, 2012 to Mar 25, 2013
      • RAUM · $133M to $137M
        Apr 3, 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