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
K••••• • P••••••• H•••••• C••••••
Latest filing Mar 27, 2017
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$4.0B
reported, Item 5.F
Discretionary
0.0%
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
288
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$4.0B as of Mar 27, 2017
Mar 30, 2012$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)12 as of Mar 27, 2017
Mar 20, 201320 then
Employees (5.A)288 as of Mar 27, 2017
Mar 20, 2013270 then
Private funds: no history
RAUM +12% over the last fiscal year-2.9% a year over threeIARs 13 to 12
Practice profile
derived from the filing of Mar 27, 2017; every figure names its basis
- RAUM per advisor
- $334MderivedRAUM 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
- $16.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 24.0derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- receives research or other products from a broker-dealer, soft dollars (8.E)
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
- 242reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
- M•••••• T••••• V•• D•• V••••• to U•• A•••••••May 1, 2017 · Other
- M••••• T••••• to U•• A•••••••May 1, 2017 · Other
- T••••• Q••• T••• to U•• A•••••••May 1, 2017 · Other
- K••• L•••• A••••• to U•• A•••••••May 1, 2017 · Other
- K••• J•• R•••••• to U•• A•••••••May 1, 2017 · Other
- J•••• M••••• F•••• to C••••••• P•••••• W••••• M•••••••••May 1, 2017 · Other
- E•••• L••••• C••••••• to U•• A•••••••May 1, 2017 · Other
- M•••••• J••••• P•••••• to U•• A•••••••May 1, 2017 · Other
- D••••• L••••••• O•••• to U•• A•••••••May 1, 2017 · Other
- T•••• S•• V•• H••• to U•• A•••••••May 1, 2017 · Other
- R••••• A•••• B•••• to C••••••• P•••••• W••••• M•••••••••Apr 7, 2017 · Other
- J••••• P•••••• S••••••• to C••••••• P•••••• W••••• M•••••••••May 1, 2015 · Other
- D•••• A••••• C•••• to C••••••• P•••••• W••••• M•••••••••May 1, 2015 · Other
- K••• C••••••••• L••••• to C••••••• P•••••• W••••• M•••••••••May 1, 2015 · Other
- B•••• D•••••• O•••• to C••••••• P•••••• W••••• M•••••••••May 1, 2015 · Other
Joined, latest
- K•••• R• C•••••• from R• B••••• I••Apr 6, 2010 · Other
- R••••• A•••• B•••• from N••••• • L•••• S••••••••• I•••Apr 6, 2010 · Other
- R•••••• E••• from R• B••••• I••Apr 6, 2010 · Other
- M••••• T••••• from S••••••• I••••••••• A•••••••• I•••Jun 2, 2009 · Other
- S••••• G••• H•••••• from L•• F•••••••• L••May 7, 2008 · Other
- K••• C••••••••• L••••• from E•••••• C••• C•••••• M•••••••••Aug 3, 2006 · Other
- J••••• P•••••• S••••••• from K••••• • P•••••••• I•••Oct 6, 2005 · Other
- D•••• A••••• C•••• from K••••• • P•••••••• I•••Oct 6, 2005 · Other
- T••••• Q••• T••• from K••••• • P•••••••• I•••Oct 6, 2005 · Other
- B•••• D•••••• O•••• from K••••• • P•••••••• I•••Oct 6, 2005 · Other
- J•••• M••••• F•••• from K••••• • P•••••••• I•••Oct 6, 2005 · Other
- M•••••• T••••• V•• D•• V••••• from K••••• • P•••••••• I•••Sep 27, 2005 · Other
- D••••• L••••••• O•••• from K••••• • P•••••••• I•••Sep 27, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 9 left for U•• A•••••••May 1, 2017 · Seattle, Wa · Firm absorbed
- 7 left for C••••••• P•••••• W••••• M•••••••••May 1, 2015 · Seattle, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• T•••• C•••••••• · Chief Compliance Officercontrolsince 06/2004 · owns less than 5%
- P•••••••• A••••• I•••• · Chairmancontrolsince 01/2002 · owns less than 5%
- P•••••••• C••••••••• J••• · Chief Executive Officercontrolsince 03/2002 · owns less than 5%
- S•••••••• G•••••• W•••••• · Shareholdercontrolsince 01/1984 · owns 50% to 75% of O••• C•••••••••
- N••••••• E•••••• J••••• · Director & Secretarysince 11/2006 · owns less than 5%
Entity owners
- U•• I•••••••• S•••••••• L•• · Shareholder - 100%direct · owns 75% or more
- O••• A••••••• H••••••• I• L•• · Shareholderindirect · owns 25% to 50% of O••• U•• H••••••• C••••
- O••• C••••••••• · Shareholderindirect · owns 75% or more of O••• P••••••• G• I•••
- O••• C••••••••• · Memberindirect · owns 75% or more of O••• A••••••• H••••••• I• L••
- O••• P••••••• G• I••• · General Partnerindirect · owns F of O••• P••••••• I•• G• L•
- O••• P••••••• I•• G• L• · General Partnerindirect · owns F of O••• Partner III LP
- O••• P••••••• I•• L• · Shareholderindirect · owns 50% to 75% of O••• U•• H••••••• C••••
- O••• U•• H••••••• C•••• · Shareholderindirect · owns 75% or more of Usi, Inc
- U••• I••• · 100 % Shareholder Of Usi I•••••••• Services LLCindirect · owns 75% or more of Usi I•••••••• Services LLC
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 · 241 to 242Mar 30, 2016 to Mar 27, 2017
- Advisory activities · 5 to 4Mar 30, 2016 to Mar 27, 2017
- BD registered reps · 7 to 6Mar 30, 2016 to Mar 27, 2017
- Employees · 276 to 288Mar 30, 2016 to Mar 27, 2017
- Insurance-licensed employees · 1 to 0Mar 30, 2016 to Mar 27, 2017
- State-registered IARs · 13 to 12Mar 30, 2016 to Mar 27, 2017
- Non-discretionary RAUM · $3.6B to $4.0BMar 30, 2016 to Mar 27, 2017
- RAUM · $3.6B to $4.0BMar 30, 2016 to Mar 27, 2017
- Accounts · 246 to 241May 29, 2015 to Mar 30, 2016
- Advisory employees · 11 to 13May 29, 2015 to Mar 30, 2016
- Advisory activities · 3 to 5May 29, 2015 to Mar 30, 2016
- BD registered reps · 13 to 7May 29, 2015 to Mar 30, 2016
- Employees · 287 to 276May 29, 2015 to Mar 30, 2016
- Insurance-licensed employees · 0 to 1May 29, 2015 to Mar 30, 2016
- Financial planning clients · unset to 0May 29, 2015 to Mar 30, 2016
- State-registered IARs · 11 to 13May 29, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $3.8B to $3.6BMay 29, 2015 to Mar 30, 2016
- RAUM · $3.8B to $3.6BMay 29, 2015 to Mar 30, 2016
- Accounts · 590 to 246Mar 27, 2015 to May 29, 2015
- Advisory employees · 23 to 11Mar 27, 2015 to May 29, 2015
- Advisory activities · 6 to 3Mar 27, 2015 to May 29, 2015
- Employees · 293 to 287Mar 27, 2015 to May 29, 2015
- Financial planning clients · 1-10 to unsetMar 27, 2015 to May 29, 2015
- State-registered IARs · 23 to 11Mar 27, 2015 to May 29, 2015
- Non-discretionary RAUM · $4.8B to $3.8BMar 27, 2015 to May 29, 2015
- RAUM · $4.8B to $3.8BMar 27, 2015 to May 29, 2015
- Accounts · 582 to 590Mar 26, 2014 to Mar 27, 2015
- Employees · 271 to 293Mar 26, 2014 to Mar 27, 2015
- Non-discretionary RAUM · $4.4B to $4.8BMar 26, 2014 to Mar 27, 2015
- RAUM · $4.4B to $4.8BMar 26, 2014 to Mar 27, 2015
- Accounts · 616 to 582Oct 7, 2013 to Mar 26, 2014
- Advisory employees · 20 to 23Oct 7, 2013 to Mar 26, 2014
- Employees · 270 to 271Oct 7, 2013 to Mar 26, 2014
- State-registered IARs · 20 to 23Oct 7, 2013 to Mar 26, 2014
- Non-discretionary RAUM · $3.6B to $4.4BOct 7, 2013 to Mar 26, 2014
- RAUM · $3.6B to $4.4BOct 7, 2013 to Mar 26, 2014
- Accounts · 536 to 616Jun 6, 2012 to Mar 20, 2013
- Advisory employees · unset to 20.0Jun 6, 2012 to Mar 20, 2013
- BD registered reps · unset to 13.0Jun 6, 2012 to Mar 20, 2013
- Employees · unset to 270.0Jun 6, 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