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
L•••• W•••••• L••
Latest filing Mar 2, 2022
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$207M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
97%
$200M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$207M as of Mar 2, 2022
Mar 29, 2012$36.8M then
HNW client RAUM$166M as of Mar 2, 2022
Mar 14, 2018$96.2M then
State-registered IARs (5.B.3)2 as of Mar 2, 2022
Mar 15, 20172 then
Employees (5.A)3 as of Mar 2, 2022
Mar 15, 20173 then
Private funds: no history
RAUM +28% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 2022; every figure names its basis
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $403,580derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 1.1%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
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $97.5M, 57 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$166M80%
- Individuals$34.2M17%
- Corporations and businesses$4.5M2.2%
- Pension and profit-sharing plans$2.3M1.1%
- Individual clients
- 66reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 513reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $97.5M for 57 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- B•••• R•••• B•••• to B••••••••• S•••••••• W•••••• L••Apr 1, 2022 · RIA to RIA
- K•••• B•••• H••••••• to N•••• P••••• W••••• A•••••••• L••Apr 1, 2022 · Other
- K•••• E••••• H••• to A•••• W••••• M••••••••• L••Feb 5, 2009 · Other
Joined, latest
- K•••• E••••• H••• from L••••• F•••••••• G••••• I•••Jan 2, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••• R•••• · Member & Chief Compliance Officercontrolsince 01/2014 · owns 75% or more
- B••••• C•••••••• · Membersince 01/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- C••••••••• C•• G•••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 476 to 513Feb 9, 2021 to Mar 2, 2022
- HNW clients · 42 to 49Feb 9, 2021 to Mar 2, 2022
- Individual clients · 70 to 66Feb 9, 2021 to Mar 2, 2022
- Assets in custody · $80.1M to $97.5MFeb 9, 2021 to Mar 2, 2022
- Discretionary RAUM · $154M to $187MFeb 9, 2021 to Mar 2, 2022
- HNW RAUM · $122M to $166MFeb 9, 2021 to Mar 2, 2022
- Individual RAUM · $34.0M to $34.2MFeb 9, 2021 to Mar 2, 2022
- Non-discretionary RAUM · $7.9M to $20.4MFeb 9, 2021 to Mar 2, 2022
- Pension RAUM · $1.7M to $2.3MFeb 9, 2021 to Mar 2, 2022
- RAUM · $162M to $207MFeb 9, 2021 to Mar 2, 2022
- Accounts · 466 to 476Jun 18, 2020 to Feb 9, 2021
- HNW clients · 35 to 42Jun 18, 2020 to Feb 9, 2021
- Individual clients · 75 to 70Jun 18, 2020 to Feb 9, 2021
- Assets in custody · $78.2M to $80.1MJun 18, 2020 to Feb 9, 2021
- Financial planning clients · 1-10 to 0Jun 18, 2020 to Feb 9, 2021
- Discretionary RAUM · $137M to $154MJun 18, 2020 to Feb 9, 2021
- HNW RAUM · $106M to $122MJun 18, 2020 to Feb 9, 2021
- Individual RAUM · $36.8M to $34.0MJun 18, 2020 to Feb 9, 2021
- Non-discretionary RAUM · $8.6M to $7.9MJun 18, 2020 to Feb 9, 2021
- Pension RAUM · $1.3M to $1.7MJun 18, 2020 to Feb 9, 2021
- RAUM · $146M to $162MJun 18, 2020 to Feb 9, 2021
- Accounts · 401 to 466Mar 18, 2019 to Mar 18, 2020
- HNW clients · 33 to 35Mar 18, 2019 to Mar 18, 2020
- Assets in custody · $73.2M to $78.2MMar 18, 2019 to Mar 18, 2020
- Discretionary RAUM · $122M to $137MMar 18, 2019 to Mar 18, 2020
- HNW RAUM · $95.5M to $106MMar 18, 2019 to Mar 18, 2020
- Individual RAUM · $30.0M to $36.8MMar 18, 2019 to Mar 18, 2020
- Non-discretionary RAUM · $6.3M to $8.6MMar 18, 2019 to Mar 18, 2020
- Pension RAUM · $1.6M to $1.3MMar 18, 2019 to Mar 18, 2020
- RAUM · $128M to $146MMar 18, 2019 to Mar 18, 2020
- Related insurance company · false to trueMar 18, 2019 to Mar 18, 2020
- Accounts · 403 to 401Sep 5, 2018 to Mar 18, 2019
- Advisory employees · 3 to 1Sep 5, 2018 to Mar 18, 2019
- Charity clients · 1.0 to unsetSep 5, 2018 to Mar 18, 2019
- HNW clients · 34 to 33Sep 5, 2018 to Mar 18, 2019
- Individual clients · 81 to 75Sep 5, 2018 to Mar 18, 2019
- Assets in custody · $42.1M to $73.2MSep 5, 2018 to Mar 18, 2019
- Employees · 4 to 3Sep 5, 2018 to Mar 18, 2019
- State-registered IARs · 3 to 2Sep 5, 2018 to Mar 18, 2019
- Discretionary RAUM · $126M to $122MSep 5, 2018 to Mar 18, 2019
Signals
4 dated events
- B•••• R•••• B•••• left L•••• W•••••• L•• for B••••••••• S•••••••• W•••••• L•• (registered 2022-04-01)Apr 1, 2022 · Advisor changed firm · fact
- K•••• B•••• H••••••• left L•••• W•••••• L•• for N•••• P••••• W••••• A•••••••• L•• (registered 2023-05-22)Apr 1, 2022 · Advisor changed firm · fact
- Louis David Imhoff (Member) no longer on Schedule A of L•••• W•••••• L•• (listed 2018-09-05, absent 2019-03-18)Mar 18, 2019 · Control person left · inference
- C••••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2016 · First SEC registration · 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