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
N•••••••• F•••••••• G••••• I•••
Legal name N•••••••• F•••••••• G••••• I••
Latest filing Mar 5, 2025
First filing on the tape Mar 9, 2012 · 23 filings
SEC status approved since Aug 13, 2003
RAUM
$59.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$55.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$59.9M as of Mar 5, 2025
Mar 9, 2012$43.7M then
HNW client RAUM$45.8M as of Mar 5, 2025
Mar 21, 2018$41.1M then
State-registered IARs (5.B.3)1 as of Mar 5, 2025
Mar 9, 20120 then
Employees (5.A)2 as of Mar 5, 2025
Feb 7, 20133 then
Private funds: no history
RAUM -20% over the last fiscal year-8.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 5, 2025; every figure names its basis
- RAUM per advisor
- $59.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $249,573derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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
- High-net-worth individuals$45.8M76%
- Individuals$9.7M16%
- Pension and profit-sharing plans$4.4M7.3%
- Individual clients
- 53reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 240reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- 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
- D•••••• A•• W•••• to O•••• F•• I•••Nov 15, 2004 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• J••••• A•• · Vice President/Chief Compliance Officercontrolsince 07/2001 · owns less than 5%
- N••••••••• D•••••• E••••• · Presidentcontrolsince 07/2001 · owns 75% or more
Related persons
Schedule D 7.A
- N•••••••• F•••••••• S•••••••• I•••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 255 to 240Feb 27, 2024 to Mar 5, 2025
- HNW clients · 18 to 15Feb 27, 2024 to Mar 5, 2025
- Individual clients · 75 to 53Feb 27, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 1-10Feb 27, 2024 to Mar 5, 2025
- Discretionary RAUM · $74.8M to $59.9MFeb 27, 2024 to Mar 5, 2025
- HNW RAUM · $43.1M to $45.8MFeb 27, 2024 to Mar 5, 2025
- Individual RAUM · $24.3M to $9.7MFeb 27, 2024 to Mar 5, 2025
- Pension RAUM · $7.3M to $4.4MFeb 27, 2024 to Mar 5, 2025
- RAUM · $74.8M to $59.9MFeb 27, 2024 to Mar 5, 2025
- Accounts · 244 to 255Aug 17, 2023 to Feb 27, 2024
- HNW clients · 16 to 18Aug 17, 2023 to Feb 27, 2024
- Individual clients · 55 to 75Aug 17, 2023 to Feb 27, 2024
- Pension plan clients · 4.0 to unsetAug 17, 2023 to Feb 27, 2024
- Discretionary RAUM · $60.1M to $74.8MAug 17, 2023 to Feb 27, 2024
- HNW RAUM · $44.5M to $43.1MAug 17, 2023 to Feb 27, 2024
- Individual RAUM · $9.3M to $24.3MAug 17, 2023 to Feb 27, 2024
- Pension RAUM · $6.3M to $7.3MAug 17, 2023 to Feb 27, 2024
- RAUM · $60.1M to $74.8MAug 17, 2023 to Feb 27, 2024
- Accounts · 261 to 244Mar 7, 2022 to Jan 24, 2023
- HNW clients · 19 to 16Mar 7, 2022 to Jan 24, 2023
- Individual clients · 64 to 55Mar 7, 2022 to Jan 24, 2023
- Discretionary RAUM · $77.5M to $60.1MMar 7, 2022 to Jan 24, 2023
- HNW RAUM · $51.3M to $44.5MMar 7, 2022 to Jan 24, 2023
- Individual RAUM · $19.2M to $9.3MMar 7, 2022 to Jan 24, 2023
- Pension RAUM · $7.0M to $6.3MMar 7, 2022 to Jan 24, 2023
- RAUM · $77.5M to $60.1MMar 7, 2022 to Jan 24, 2023
- Accounts · 280 to 261Mar 22, 2021 to Mar 7, 2022
- Advisory employees · 3 to 2Mar 22, 2021 to Mar 7, 2022
- HNW clients · 18 to 19Mar 22, 2021 to Mar 7, 2022
- Individual clients · 67 to 64Mar 22, 2021 to Mar 7, 2022
- Pension plan clients · 6 to 4Mar 22, 2021 to Mar 7, 2022
- Employees · 3 to 2Mar 22, 2021 to Mar 7, 2022
- Discretionary RAUM · $71.9M to $77.5MMar 22, 2021 to Mar 7, 2022
- HNW RAUM · $47.0M to $51.3MMar 22, 2021 to Mar 7, 2022
- Individual RAUM · $19.2M to $19.2MMar 22, 2021 to Mar 7, 2022
- Pension RAUM · $5.7M to $7.0MMar 22, 2021 to Mar 7, 2022
- RAUM · $71.9M to $77.5MMar 22, 2021 to Mar 7, 2022
- Accounts · 291 to 280Sep 10, 2020 to Mar 22, 2021
- HNW clients · 19 to 18Sep 10, 2020 to Mar 22, 2021
- Individual clients · 73 to 67Sep 10, 2020 to Mar 22, 2021
Signals
1 dated events
- N•••••••• F•••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $59.9M)Apr 1, 2026 · Left the SEC roster · derived
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