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
H•••• W••••• A•••••••• L••
Latest filing Mar 14, 2024
First filing on the tape Mar 22, 2012 · 21 filings
SEC status approved since Jul 13, 2007
RAUM
$271M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$261M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$271M as of Mar 14, 2024
Mar 22, 2012$115M then
HNW client RAUM$229M as of Mar 14, 2024
Mar 17, 2018$140M then
State-registered IARs (5.B.3)4 as of Mar 14, 2024
Mar 22, 20120 then
Employees (5.A)5 as of Mar 14, 2024
Mar 25, 20133 then
Private funds: no history
RAUM +27% over the last fiscal year+15% a year over threeIARs 3 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 14, 2024; every figure names its basis
- RAUM per advisor
- $67.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $567,065derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $4.8M, 6 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$229M84%
- Individuals$32.3M12%
- Corporations and businesses$4.9M1.8%
- Pension and profit-sharing plans$3.0M1.1%
- Charitable organizations$2.2M0.8%
- Individual clients
- 105reported
- HNW clients
- 68reported
- Pension plan clients
- 4reported
- Charitable clients
- 5reported
- Accounts
- 478reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.8M for 6 clientsreported
- Compensation
- % of AUMreported
- 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•••••• W••••• M•••••• to F•••• P••••••• W•••••• L••Feb 7, 2025 · RIA to RIA
- R•••••• M•••••• H•••• to F•••• P••••••• W•••••• L••Feb 7, 2025 · RIA to RIA
- C•••••• D••••• D••• to F•••• P••••••• W•••••• L••Feb 7, 2025 · RIA to RIA
- M•••••• J• L•••• to E•••••••• A•••••••• L••Jul 26, 2012 · Other
Joined, latest
- M•••••• J• L•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 15, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for F•••• P••••••• W•••••• L••Feb 7, 2025 · Omaha, Ne · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• R••••••• M•••••• · Managing Member / Chief Compliance Officercontrolsince 08/2003 · owns 75% or more
Related persons
Schedule D 7.A
- H•••••• • D•••• P•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Omaha, Ne · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Dakota Dunes, SD
What changed
consecutive filings, newest first
- Accounts · 354 to 478Mar 20, 2023 to Mar 14, 2024
- Advisory employees · 3 to 4Mar 20, 2023 to Mar 14, 2024
- Charity clients · 4 to 5Mar 20, 2023 to Mar 14, 2024
- HNW clients · 52 to 68Mar 20, 2023 to Mar 14, 2024
- Individual clients · 85 to 105Mar 20, 2023 to Mar 14, 2024
- Pension plan clients · 2 to 4Mar 20, 2023 to Mar 14, 2024
- Assets in custody · $8.3M to $4.8MMar 20, 2023 to Mar 14, 2024
- State-registered IARs · 3 to 4Mar 20, 2023 to Mar 14, 2024
- Other offices · 0 to 1Mar 20, 2023 to Mar 14, 2024
- Discretionary RAUM · $214M to $271MMar 20, 2023 to Mar 14, 2024
- HNW RAUM · $188M to $229MMar 20, 2023 to Mar 14, 2024
- Individual RAUM · $20.1M to $32.3MMar 20, 2023 to Mar 14, 2024
- Pension RAUM · $747,699 to $3.0MMar 20, 2023 to Mar 14, 2024
- RAUM · $214M to $271MMar 20, 2023 to Mar 14, 2024
- Accounts · 352 to 354Mar 24, 2022 to Mar 20, 2023
- Individual clients · 82 to 85Mar 24, 2022 to Mar 20, 2023
- Assets in custody · $54.9M to $8.3MMar 24, 2022 to Mar 20, 2023
- Employees · 4 to 5Mar 24, 2022 to Mar 20, 2023
- Discretionary RAUM · $225M to $214MMar 24, 2022 to Mar 20, 2023
- HNW RAUM · $196M to $188MMar 24, 2022 to Mar 20, 2023
- Individual RAUM · $22.0M to $20.1MMar 24, 2022 to Mar 20, 2023
- Pension RAUM · $671,212 to $747,699Mar 24, 2022 to Mar 20, 2023
- RAUM · $225M to $214MMar 24, 2022 to Mar 20, 2023
- Accounts · 317 to 352Mar 15, 2021 to Mar 24, 2022
- Corporate clients · 1 to 3Mar 15, 2021 to Mar 24, 2022
- HNW clients · 46 to 52Mar 15, 2021 to Mar 24, 2022
- Individual clients · 80 to 82Mar 15, 2021 to Mar 24, 2022
- Pension plan clients · 0 to 2Mar 15, 2021 to Mar 24, 2022
- Assets in custody · $36.1M to $54.9MMar 15, 2021 to Mar 24, 2022
- Discretionary RAUM · $180M to $225MMar 15, 2021 to Mar 24, 2022
- HNW RAUM · $156M to $196MMar 15, 2021 to Mar 24, 2022
- Individual RAUM · $21.9M to $22.0MMar 15, 2021 to Mar 24, 2022
- Pension RAUM · $0 to $671,212Mar 15, 2021 to Mar 24, 2022
- RAUM · $180M to $225MMar 15, 2021 to Mar 24, 2022
- Accounts · 326 to 317Jun 24, 2020 to Mar 15, 2021
- Advisory employees · 4 to 3Jun 24, 2020 to Mar 15, 2021
- Individual clients · 84 to 80Jun 24, 2020 to Mar 15, 2021
- Pension plan clients · 1 to 0Jun 24, 2020 to Mar 15, 2021
- Assets in custody · $32.5M to $36.1MJun 24, 2020 to Mar 15, 2021
- Employees · 5 to 4Jun 24, 2020 to Mar 15, 2021
Signals
5 dated events
- H•••• W••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $271.1M)Mar 6, 2025 · Left the SEC roster · derived
- R•••••• M•••••• H•••• left H•••• W••••• A•••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2025-02-04)Feb 7, 2025 · Advisor changed firm · fact
- C•••••• D••••• D••• left H•••• W••••• A•••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2025-02-10)Feb 7, 2025 · Advisor changed firm · fact
- M•••••• W••••• M•••••• left H•••• W••••• A•••••••• L•• for F•••• P••••••• W•••••• L•• (registered 2025-02-10)Feb 7, 2025 · Advisor changed firm · fact
- H•••• W••••• A•••••••• L••'s advisors moved to F•••• P••••••• W•••••• L•• (Omaha, NE): 3 of 3 registered, on the same dayFeb 7, 2025 · Firm absorbed (people side) · 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