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•• A•••• M••••••••• L••
Latest filing Apr 8, 2024
First filing on the tape Jan 31, 2012 · 42 filings
RAUM
$177B
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
244
215 advisory (5.B.1)
Offices
22
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$177B as of Mar 29, 2024
Mar 30, 2012$44B then
HNW client RAUM$0 as of Mar 29, 2024
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Apr 1, 20130 then
Employees (5.A)244 as of Mar 29, 2024
Apr 1, 2013166 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 0 to 0offices 19 to 22
Practice profile
derived from the filing of Apr 8, 2024; 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
- $90.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 51%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived23 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- yesreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$82B53%
- Pooled investment vehicles$62B41%
- Pension and profit-sharing plans$6.6B4.3%
- Charitable organizations$1.8B1.2%
- Corporations and businesses$609M0.4%
- Banks and thrifts$206M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 14reported
- Charitable clients
- 36reported
- Accounts
- 1,952reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• R••••••• J••• · Chief Counsel & Secretarycontrolsince 12/2021 · owns less than 5%
- K•••••••• L••• J••••• · Chief Compliance Officercontrolsince 03/2011 · owns less than 5%
- M•••••• J•••• W•••••• · Chief Admnistrative Officercontrolsince 12/2021 · owns less than 5%
- S•••••••• K••••••• E••• · Chief Investment Officercontrolsince 12/2021 · owns less than 5%
- S••••••••• J•••• M•••••• · Treasurercontrolsince 12/2021 · owns less than 5%
- T••••• E•••• J•••• · Ceo & Presidentcontrolsince 12/2021 · owns less than 5%
Entity owners
- U••• B•••••• A•••• M••••••••• I••• · Shareholderdirect · owns 75% or more
- U••• B•••••• · Shareholderindirect · owns 75% or more of U••• B••• N••••••• A••••••••• · public reporting company
- U••• B••• N••••••• A••••••••• · Shareholderindirect · owns 75% or more of U••• B•••••• A•••• M••••••••• I•••
Related persons
Schedule D 7.A
- P•• F••• D••••••••• I•••broker-dealern
- U••• B•••••• A•••• M••••••••• I•••investment adviserpooled vehicle sponsoryRAUM $427B
- U••• B•••••• I••••••••• I•••broker-dealerinvestment adviserreal estatenRAUM $23B
- U••• B••• N••••••• A•••••••••broker-dealerCPO or CTAcustodiany
Advisers that list P•• A•••• M••••••••• L•• as a related person
- 111912 y
Offices
Schedule D 1.F, the 25 largest
- Philadelphia, PA22 employees
- San Francisco, CA8 employees
- Orlando, FL8 employees
- San Francisco, CA5 employees
- Ewing, NJ5 employees
- Chicago, IL4 employees
- Detroit, MI4 employees
- Southlake, TX4 employees
- Minneapolis, MN3 employees
- Denver, CO3 employees
- Mesa, AZ3 employees
- Los Angeles, CA3 employees
- St. Charles, MO2 employees
- Milwaukee, WI2 employees
- Atlanta, GA2 employees
- Cheyenne, WY1 employees
- Cincinnati, OH1 employees
- Irvine, CA1 employees
- New York, NY1 employees
- Sacramento, CA1 employees
- Richmond, VA1 employees
- Charlotte, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 1,871 to 1,952Jan 18, 2024 to Mar 29, 2024
- BD registered reps · 114 to 105Jan 18, 2024 to Mar 29, 2024
- Charity clients · 35 to 36Jan 18, 2024 to Mar 29, 2024
- Corporate clients · 12 to 16Jan 18, 2024 to Mar 29, 2024
- Pension plan clients · 13 to 14Jan 18, 2024 to Mar 29, 2024
- Employees · 227 to 244Jan 18, 2024 to Mar 29, 2024
- Other offices · 23 to 22Jan 18, 2024 to Mar 29, 2024
- Discretionary RAUM · $154B to $176BJan 18, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $241M to $545MJan 18, 2024 to Mar 29, 2024
- Pension RAUM · $5.7B to $6.6BJan 18, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $50B to $62BJan 18, 2024 to Mar 29, 2024
- RAUM · $154B to $177BJan 18, 2024 to Mar 29, 2024
- Other offices · 20 to 23Jan 11, 2024 to Jan 18, 2024
- Other offices · 19 to 20Jun 9, 2023 to Jul 24, 2023
- Accounts · 1,748 to 1,871Aug 26, 2022 to Mar 30, 2023
- Advisory employees · 220 to 215Aug 26, 2022 to Mar 30, 2023
- BD registered reps · 125 to 114Aug 26, 2022 to Mar 30, 2023
- Charity clients · 32 to 35Aug 26, 2022 to Mar 30, 2023
- Corporate clients · 13 to 12Aug 26, 2022 to Mar 30, 2023
- Pension plan clients · 12 to 13Aug 26, 2022 to Mar 30, 2023
- Employees · 240 to 227Aug 26, 2022 to Mar 30, 2023
- Other offices · 21 to 19Aug 26, 2022 to Mar 30, 2023
- Discretionary RAUM · $130B to $154BAug 26, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $232M to $241MAug 26, 2022 to Mar 30, 2023
- Pension RAUM · $6.6B to $5.7BAug 26, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $37B to $50BAug 26, 2022 to Mar 30, 2023
- RAUM · $130B to $154BAug 26, 2022 to Mar 30, 2023
- Accounts · 1,937 to 1,748Jan 27, 2022 to Mar 30, 2022
- Advisory employees · 229 to 220Jan 27, 2022 to Mar 30, 2022
- BD registered reps · 121 to 125Jan 27, 2022 to Mar 30, 2022
- Charity clients · 30 to 32Jan 27, 2022 to Mar 30, 2022
- Corporate clients · 11 to 13Jan 27, 2022 to Mar 30, 2022
- Pension plan clients · 13 to 12Jan 27, 2022 to Mar 30, 2022
- Employees · 252 to 240Jan 27, 2022 to Mar 30, 2022
- Financial planning clients · 0 to unsetJan 27, 2022 to Mar 30, 2022
- Discretionary RAUM · $121B to $130BJan 27, 2022 to Mar 30, 2022
- Non-discretionary RAUM · $550M to $232MJan 27, 2022 to Mar 30, 2022
- Pension RAUM · $5.8B to $6.6BJan 27, 2022 to Mar 30, 2022
- Pooled vehicle RAUM · $40B to $37BJan 27, 2022 to Mar 30, 2022
- RAUM · $121B to $130BJan 27, 2022 to Mar 30, 2022
Signals
13 dated events
- Nmn K•••• J•••• (Secretary) no longer on Schedule A of P•• A•••• M••••••••• L•• (listed 2021-05-06, absent 2021-12-23)Dec 23, 2021 · Control person left · inference
- Denise Cheryl Maddox (Assistant Secretary) no longer on Schedule A of P•• A•••• M••••••••• L•• (listed 2021-05-06, absent 2021-12-23)Dec 23, 2021 · Control person left · inference
- Paul Martin Margolis (President/Manager) no longer on Schedule A of P•• A•••• M••••••••• L•• (listed 2021-05-06, absent 2021-12-23)Dec 23, 2021 · Control person left · inference
- Herbert John Bonow (Ceo & Manager) no longer on Schedule A of P•• A•••• M••••••••• L•• (listed 2021-05-06, absent 2021-12-23)Dec 23, 2021 · Control person left · inference
- Jude Richard Ertel (Chief Counsel & Secretary) appeared on Schedule A of P•• A•••• M••••••••• L••Dec 23, 2021 · Control person joined · fact
- Eric Kenneth Schiebel (Chief Investment Officer) appeared on Schedule A of P•• A•••• M••••••••• L••Dec 23, 2021 · Control person joined · fact
- William John Molloy (Chief Admnistrative Officer) appeared on Schedule A of P•• A•••• M••••••••• L••Dec 23, 2021 · Control person joined · fact
- James Eric Thole (Ceo & President) appeared on Schedule A of P•• A•••• M••••••••• L••Dec 23, 2021 · Control person joined · fact
- Michele Jill Stevenson (Treasurer) appeared on Schedule A of P•• A•••• M••••••••• L••Dec 23, 2021 · Control person joined · fact
- Jean Debra Goodnight (Secretary/Asst. Treasurer) no longer on Schedule A of P•• A•••• M••••••••• L•• (listed 2019-03-29, absent 2019-07-11)Jul 11, 2019 · Control person left · inference
- Denise Cheryl Maddox (Assistant Secretary) appeared on Schedule A of P•• A•••• M••••••••• L••Jul 11, 2019 · Control person joined · fact
- K•••• J•••• (Secretary) appeared on Schedule A of P•• A•••• M••••••••• L••Jul 11, 2019 · Control person joined · fact
- Steve Boyle (Treasurer/Asst. Secretary/Manager) no longer on Schedule A of P•• A•••• M••••••••• L•• (listed 2019-02-11, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
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