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
C••••• C•••••• M•••••••••
Legal name C••••• I••
Latest filing Mar 23, 2017
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$481M
reported, Item 5.F
Discretionary
88%
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$481M as of Mar 23, 2017
Mar 28, 2012$253M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 23, 2017
Mar 28, 20120 then
Employees (5.A)6 as of Mar 23, 2017
Mar 22, 20137 then
Private funds: no history
RAUM +18% over the last fiscal year+15% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 23, 2017; every figure names its basis
- RAUM per advisor
- $160MderivedRAUM 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
- $773,875derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%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 consultingreportedItem 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
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
- 622reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- D•••• C••••• R•••••• to W•••••• • R•••Mar 11, 2015 · Other
- M•••••• L••••• G•• to P••••••••• L••Jan 2, 2013 · Other
- J••• S•••••••• M••••••• to D••••••Aug 22, 2012 · Other
- J•••• R••••• K••••••••• to G••••• R••••••••• P••••••• L••Nov 22, 2010 · Other
- C•••• M•••• D•••• to B•••••• • D•••• A•••••••Nov 22, 2010 · Other
Joined, latest
- D•••• C••••• R•••••• from I••••••••• S•••••••• A••••••• L••Sep 7, 2012 · Other
- C•••• M•••• D•••• from W•••• F•••• A•••••••Oct 8, 2010 · Other
- J•••• R••••• K••••••••• from S••••••• I••••••••• A•••••••• I•••Oct 8, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••• C••••••• H•••• · Chief Compliance Officercontrolsince 01/2004 · owns 75% or more
- E••• S••••••• M•••••• · Chief Investment Officercontrolsince 01/2006 · owns less than 5%
- L••••• A•••••• K•••••• · Chief Operations Officercontrolsince 01/2008 · owns less than 5%
- V•••••• D••••••• J••• · Chief Executive Officercontrolsince 01/2011 · owns less than 5%
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 · 585 to 622Mar 16, 2016 to Mar 23, 2017
- Advisory employees · 4 to 3Mar 16, 2016 to Mar 23, 2017
- State-registered IARs · 4 to 3Mar 16, 2016 to Mar 23, 2017
- Discretionary RAUM · $344M to $423MMar 16, 2016 to Mar 23, 2017
- Non-discretionary RAUM · $65.3M to $58.2MMar 16, 2016 to Mar 23, 2017
- RAUM · $409M to $481MMar 16, 2016 to Mar 23, 2017
- Accounts · 579 to 585Mar 23, 2015 to Mar 16, 2016
- Employees · 5 to 6Mar 23, 2015 to Mar 16, 2016
- Financial planning clients · 0 to 1-10Mar 23, 2015 to Mar 16, 2016
- Discretionary RAUM · $318M to $344MMar 23, 2015 to Mar 16, 2016
- Non-discretionary RAUM · $120M to $65.3MMar 23, 2015 to Mar 16, 2016
- RAUM · $437M to $409MMar 23, 2015 to Mar 16, 2016
- Accounts · 352 to 579Mar 21, 2014 to Mar 23, 2015
- Advisory employees · 5 to 4Mar 21, 2014 to Mar 23, 2015
- Employees · 6 to 5Mar 21, 2014 to Mar 23, 2015
- State-registered IARs · 5 to 4Mar 21, 2014 to Mar 23, 2015
- Discretionary RAUM · $260M to $318MMar 21, 2014 to Mar 23, 2015
- Non-discretionary RAUM · $56.6M to $120MMar 21, 2014 to Mar 23, 2015
- RAUM · $317M to $437MMar 21, 2014 to Mar 23, 2015
- Accounts · 385 to 352Mar 22, 2013 to Mar 21, 2014
- Advisory employees · 6 to 5Mar 22, 2013 to Mar 21, 2014
- Employees · 7 to 6Mar 22, 2013 to Mar 21, 2014
- State-registered IARs · 6 to 5Mar 22, 2013 to Mar 21, 2014
- Discretionary RAUM · $222M to $260MMar 22, 2013 to Mar 21, 2014
- Non-discretionary RAUM · $56.0M to $56.6MMar 22, 2013 to Mar 21, 2014
- RAUM · $278M to $317MMar 22, 2013 to Mar 21, 2014
- Accounts · 480 to 385Mar 28, 2012 to Mar 22, 2013
- Advisory employees · unset to 6.0Mar 28, 2012 to Mar 22, 2013
- Employees · unset to 7.0Mar 28, 2012 to Mar 22, 2013
- State-registered IARs · 0 to 6Mar 28, 2012 to Mar 22, 2013
- Discretionary RAUM · $127M to $222MMar 28, 2012 to Mar 22, 2013
- Non-discretionary RAUM · $126M to $56.0MMar 28, 2012 to Mar 22, 2013
- RAUM · $253M to $278MMar 28, 2012 to Mar 22, 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