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

M•••••• A•••••••• L••

Former SEC-registered adviserNewark, DelawareCRD 122146SEC 801-61395IAPD
Latest filing Mar 20, 2013
First filing on the tape Mar 23, 2012 · 2 filings
RAUM
$182M
reported, Item 5.F
Discretionary
78%
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
12
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$182M as of Mar 20, 2013
Mar 23, 2012$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 20, 2013
Mar 23, 20120 then
Employees (5.A): 12
Private funds: no history
RAUM +24% over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Mar 20, 2013; every figure names its basis
RAUM per advisor
$45.5MderivedRAUM 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
$220,730derivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+24%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 feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$5.8M, 67 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)
  • 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)
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
824reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$5.8M for 67 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
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
    • B•••••••• P•••• S• · Membercontrol
      since 07/2002 · owns 50% to 75%
    • S••••••• W••••••• D• · Membercontrol
      since 07/2002 · owns 50% to 75%
    • B•••••••• P•••••• S• · Chief Compliance Officer
      since 11/2009 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Hockessin, DE
    What changed
    consecutive filings, newest first
    • Accounts · 712 to 824
      Mar 23, 2012 to Mar 20, 2013
    • Advisory employees · unset to 4.0
      Mar 23, 2012 to Mar 20, 2013
    • Assets in custody · unset to 5848785.0
      Mar 23, 2012 to Mar 20, 2013
    • Custody of client assets · false to true
      Mar 23, 2012 to Mar 20, 2013
    • Employees · unset to 12.0
      Mar 23, 2012 to Mar 20, 2013
    • State-registered IARs · 0 to 4
      Mar 23, 2012 to Mar 20, 2013
    • Discretionary RAUM · $109M to $142M
      Mar 23, 2012 to Mar 20, 2013
    • Non-discretionary RAUM · $37.7M to $40.2M
      Mar 23, 2012 to Mar 20, 2013
    • RAUM · $146M to $182M
      Mar 23, 2012 to Mar 20, 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