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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Latest filing Apr 8, 2021
First filing on the tape Jan 9, 2012 · 14 filings
RAUM
$226M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
94%
$212M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$226M as of Mar 24, 2021
Mar 27, 2012$104M then
HNW client RAUM$207M as of Mar 24, 2021
Mar 18, 2018$178M then
State-registered IARs (5.B.3)2 as of Mar 24, 2021
Mar 27, 20120 then
Employees (5.A)3 as of Mar 24, 2021
Mar 28, 20132 then
Private funds: no history
RAUM +41% over the last fiscal year+5.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 8, 2021; every figure names its basis
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 6.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $165M, 54 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)
- 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$207M92%
- Charitable organizations$14.0M6.2%
- Individuals$4.6M2.0%
- Individual clients
- 17reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 93reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $165M for 54 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
- R••• S•••••• C••••• to S••••••• F•••••••• S•••••••• I•••Mar 22, 2022 · RIA to RIA
Joined, latest
- R••• S•••••• C••••• from C••••• I••••••••• A••••••• L••Aug 18, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• P•••••• T••••••• · President & Chief Compliance Officercontrolsince 07/2002 · 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 · 92 to 93Jun 12, 2020 to Mar 24, 2021
- HNW clients · 47 to 50Jun 12, 2020 to Mar 24, 2021
- Individual clients · 15 to 17Jun 12, 2020 to Mar 24, 2021
- Assets in custody · $142M to $165MJun 12, 2020 to Mar 24, 2021
- Discretionary RAUM · $156M to $219MJun 12, 2020 to Mar 24, 2021
- HNW RAUM · $141M to $207MJun 12, 2020 to Mar 24, 2021
- Individual RAUM · $10.5M to $4.6MJun 12, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $3.9M to $6.2MJun 12, 2020 to Mar 24, 2021
- RAUM · $160M to $226MJun 12, 2020 to Mar 24, 2021
- Accounts · 89 to 92Mar 21, 2019 to Mar 27, 2020
- Assets in custody · $143M to $142MMar 21, 2019 to Mar 27, 2020
- Employees · 2 to 3Mar 21, 2019 to Mar 27, 2020
- Discretionary RAUM · $187M to $156MMar 21, 2019 to Mar 27, 2020
- HNW RAUM · $174M to $141MMar 21, 2019 to Mar 27, 2020
- Individual RAUM · $6.0M to $10.5MMar 21, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $4.8M to $3.9MMar 21, 2019 to Mar 27, 2020
- RAUM · $191M to $160MMar 21, 2019 to Mar 27, 2020
- Accounts · 86 to 89Mar 18, 2018 to Mar 21, 2019
- HNW clients · 48 to 47Mar 18, 2018 to Mar 21, 2019
- Individual clients · 19 to 15Mar 18, 2018 to Mar 21, 2019
- Discretionary RAUM · $189M to $187MMar 18, 2018 to Mar 21, 2019
- HNW RAUM · $178M to $174MMar 18, 2018 to Mar 21, 2019
- Individual RAUM · $5.5M to $6.0MMar 18, 2018 to Mar 21, 2019
- Non-discretionary RAUM · $5.1M to $4.8MMar 18, 2018 to Mar 21, 2019
- RAUM · $194M to $191MMar 18, 2018 to Mar 21, 2019
- Accounts · 69 to 86Mar 24, 2017 to Mar 18, 2018
- Advisory employees · 1 to 2Mar 24, 2017 to Mar 18, 2018
- Charity clients · unset to 4.0Mar 24, 2017 to Mar 18, 2018
- HNW clients · unset to 48.0Mar 24, 2017 to Mar 18, 2018
- Individual clients · unset to 19.0Mar 24, 2017 to Mar 18, 2018
- Assets in custody · $124M to $143MMar 24, 2017 to Mar 18, 2018
- State-registered IARs · 1 to 2Mar 24, 2017 to Mar 18, 2018
- Other offices · unset to 0.0Mar 24, 2017 to Mar 18, 2018
- Discretionary RAUM · $169M to $189MMar 24, 2017 to Mar 18, 2018
- HNW RAUM · unset to 178065090.0Mar 24, 2017 to Mar 18, 2018
- Individual RAUM · unset to 5451139.0Mar 24, 2017 to Mar 18, 2018
- Non-discretionary RAUM · $4.8M to $5.1MMar 24, 2017 to Mar 18, 2018
- RAUM · $174M to $194MMar 24, 2017 to Mar 18, 2018
- Accounts · 70 to 69Mar 24, 2016 to Mar 24, 2017
- Assets in custody · $108M to $124MMar 24, 2016 to Mar 24, 2017
Signals
2 dated events
- R••• S•••••• C••••• left T•••••••• I••• for S••••••• F•••••••• S•••••••• I••• (registered 2023-01-23)Mar 22, 2022 · Advisor changed firm · fact
- T•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 9, 2012 · Succession (Item 4) · 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