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

B••••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserCRD 130321SEC 801-63641IAPD
Latest filing Sep 28, 2015
First filing on the tape Mar 19, 2012 · 8 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$2.3B as of Mar 24, 2015
Mar 19, 2012$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2015
Apr 1, 20130 then
Employees (5.A)2 as of Mar 24, 2015
Apr 1, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 28, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
pension consulting, selection of other advisers, educational seminars, 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
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
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
    • A•••••••• G••••• H•••• · President/Chief Compliance Officercontrol
      since 10/2000 · 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 · 31.0 to unset
      Mar 24, 2015 to Sep 21, 2015
    • Employees · 2 to 1
      Mar 24, 2015 to Sep 21, 2015
    • Discretionary RAUM · 0.0 to unset
      Mar 24, 2015 to Sep 21, 2015
    • Non-discretionary RAUM · 2262000000.0 to unset
      Mar 24, 2015 to Sep 21, 2015
    • RAUM · 2262000000.0 to unset
      Mar 24, 2015 to Sep 21, 2015
    • Related adviser · true to false
      Mar 24, 2015 to Sep 21, 2015
    • Accounts · 32 to 31
      May 13, 2014 to Mar 24, 2015
    • Advisory employees · 0 to 1
      May 13, 2014 to Mar 24, 2015
    • Employees · 0 to 2
      May 13, 2014 to Mar 24, 2015
    • Insurance-licensed employees · 0 to 1
      May 13, 2014 to Mar 24, 2015
    • Non-discretionary RAUM · $2.0B to $2.3B
      May 13, 2014 to Mar 24, 2015
    • RAUM · $2.0B to $2.3B
      May 13, 2014 to Mar 24, 2015
    • Related adviser · false to true
      Mar 24, 2014 to May 13, 2014
    • Employees · 1 to 0
      Apr 1, 2013 to Mar 24, 2014
    • Accounts · 30 to 32
      Apr 1, 2013 to Mar 24, 2014
    • Advisory employees · 1 to 0
      Apr 1, 2013 to Mar 24, 2014
    • Non-discretionary RAUM · $1.1B to $2.0B
      Apr 1, 2013 to Mar 24, 2014
    • RAUM · $1.1B to $2.0B
      Apr 1, 2013 to Mar 24, 2014
    • Accounts · 29 to 30
      May 30, 2012 to Apr 1, 2013
    • Advisory employees · unset to 1.0
      May 30, 2012 to Apr 1, 2013
    • Employees · unset to 1.0
      May 30, 2012 to Apr 1, 2013
    • State-registered IARs · unset to 0.0
      May 30, 2012 to Apr 1, 2013
    • Non-discretionary RAUM · $1.7B to $1.1B
      May 30, 2012 to Apr 1, 2013
    • RAUM · $1.7B to $1.1B
      May 30, 2012 to Apr 1, 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