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RIA Intelligence

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Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $878M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$878M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+16%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 129051 · SEC 801-67372 · 14 filingsShow
CRD 129051SEC 801-67372First filing on the tape Dec 9, 2011, latest Feb 23, 2021IAPD
RAUM
$878M
reported, Item 5.F
Discretionary
100%
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
1
1 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$878M as of Feb 23, 2021
Mar 19, 2012$172M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 23, 2021
Mar 19, 20120 then
Employees (5.A)1 as of Feb 23, 2021
Feb 27, 20131 then
Private funds: no history
RAUM +16% over the last fiscal year+10.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 23, 2021; every figure names its basis
RAUM per advisor
$878MderivedRAUM 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
$17.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
Custody
$819M, 48 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$878M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
50reported
Charitable clients
n/areported
Accounts
50reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$819M for 48 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
Left, latest
none on the tape
    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
      • R••••• D•••••• M••••• · President/Chief Compliance Officercontrol
        since 08/2003 · 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 · 45 to 50
        Mar 11, 2020 to Feb 23, 2021
      • Pension plan clients · 43 to 50
        Mar 11, 2020 to Feb 23, 2021
      • Assets in custody · $706M to $819M
        Mar 11, 2020 to Feb 23, 2021
      • Discretionary RAUM · $757M to $878M
        Mar 11, 2020 to Feb 23, 2021
      • Pension RAUM · $757M to $878M
        Mar 11, 2020 to Feb 23, 2021
      • RAUM · $757M to $878M
        Mar 11, 2020 to Feb 23, 2021
      • Pension plan clients · 45 to 43
        Feb 27, 2019 to Mar 11, 2020
      • Assets in custody · $692M to $706M
        Feb 27, 2019 to Mar 11, 2020
      • Discretionary RAUM · $743M to $757M
        Feb 27, 2019 to Mar 11, 2020
      • Pension RAUM · $743M to $757M
        Feb 27, 2019 to Mar 11, 2020
      • RAUM · $743M to $757M
        Feb 27, 2019 to Mar 11, 2020
      • Accounts · 42 to 45
        Feb 27, 2018 to Feb 27, 2019
      • Pension plan clients · 42 to 45
        Feb 27, 2018 to Feb 27, 2019
      • Assets in custody · $592M to $692M
        Feb 27, 2018 to Feb 27, 2019
      • Discretionary RAUM · $660M to $743M
        Feb 27, 2018 to Feb 27, 2019
      • Pension RAUM · $660M to $743M
        Feb 27, 2018 to Feb 27, 2019
      • RAUM · $660M to $743M
        Feb 27, 2018 to Feb 27, 2019
      • Accounts · 35 to 42
        Feb 15, 2017 to Feb 27, 2018
      • Pension plan clients · unset to 42.0
        Feb 15, 2017 to Feb 27, 2018
      • Assets in custody · $342M to $592M
        Feb 15, 2017 to Feb 27, 2018
      • Other offices · unset to 0.0
        Feb 15, 2017 to Feb 27, 2018
      • Discretionary RAUM · $336M to $660M
        Feb 15, 2017 to Feb 27, 2018
      • Non-discretionary RAUM · $11.4M to $0
        Feb 15, 2017 to Feb 27, 2018
      • Pension RAUM · unset to 659793591.0
        Feb 15, 2017 to Feb 27, 2018
      • RAUM · $348M to $660M
        Feb 15, 2017 to Feb 27, 2018
      • Accounts · 29 to 35
        Nov 1, 2016 to Feb 15, 2017
      • Assets in custody · $273M to $342M
        Nov 1, 2016 to Feb 15, 2017
      • Discretionary RAUM · $317M to $336M
        Nov 1, 2016 to Feb 15, 2017
      • Non-discretionary RAUM · $0 to $11.4M
        Nov 1, 2016 to Feb 15, 2017
      • RAUM · $317M to $348M
        Nov 1, 2016 to Feb 15, 2017
      • Assets in custody · $256M to $273M
        Mar 5, 2015 to Jan 22, 2016
      • Discretionary RAUM · $298M to $317M
        Mar 5, 2015 to Jan 22, 2016
      • RAUM · $298M to $317M
        Mar 5, 2015 to Jan 22, 2016
      • Accounts · 32 to 29
        Mar 3, 2014 to Mar 5, 2015
      • Assets in custody · $228M to $256M
        Mar 3, 2014 to Mar 5, 2015
      • Discretionary RAUM · $254M to $298M
        Mar 3, 2014 to Mar 5, 2015
      • RAUM · $254M to $298M
        Mar 3, 2014 to Mar 5, 2015
      • Accounts · 27 to 32
        Sep 24, 2013 to Mar 3, 2014
      • Assets in custody · $180M to $228M
        Sep 24, 2013 to Mar 3, 2014
      • Discretionary RAUM · $207M to $254M
        Sep 24, 2013 to Mar 3, 2014
      Signals
      1 dated events
      • ••• Locked
        Feb 27, 2018 · RAUM change · 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