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
D•••••• G••••••• H••••••• M•••• • C••• L••
Latest filing Mar 8, 2021
First filing on the tape Feb 2, 2012 · 57 filings
RAUM
$245M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
58%
$141M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$526M as of Feb 12, 2021
Feb 2, 2012$1.5B then
HNW client RAUM$281M as of Feb 12, 2021
Feb 26, 2018$436M then
State-registered IARs (5.B.3)0 as of Feb 12, 2021
Jan 29, 20139 then
Employees (5.A)16 as of Feb 12, 2021
Jan 29, 201323 then
Private funds2 as of Feb 12, 2021
Mar 4, 20203 then
RAUM -84% over the last fiscal year-50% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 8, 2021; 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
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $517,126derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -66%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -47%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $19.7M, 9 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$84.8M42%
- High-net-worth individuals$56.6M28%
- Pension and profit-sharing plans$19.7M9.7%
- Investment companies$16.4M8.1%
- Charitable organizations$14.6M7.2%
- State and municipal entities$10.9M5.3%
- Individual clients
- 318reported
- HNW clients
- 50reported
- Pension plan clients
- 9reported
- Charitable clients
- 2reported
- Accounts
- 473reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $84.8M managedreported
- Custody of client assets
- $19.7M for 9 clientsreported
- Compensation
- % of AUM, performancereported
- 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
- P•••• A•••••• G•••• to C•••••••• G••••• M•••••• I•••Jun 2, 2021 · RIA to affiliated broker-dealer or bank
- R•••••• F•••••• W••••• to R•••••• J•••• • A••••••••• I•••Jun 2, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••• E••••••• V•••• L• | Hedge Fund | $6.3M | 13 | Nov 5, 2019 |
| D••• E••••••• V•••• L•• | Hedge Fund | $2.3M | 3 | Nov 5, 2019 |
| D••• U••••••••• L• | Hedge Fund | $1.8M | 8 | Nov 5, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••••• C•••••• · Membercontrolsince 01/2007 · owns less than 5%
- D•••••• T••••••• G••••• · Membercontrolsince 02/2004 · owns less than 5%
- D••••••••• A•••••• · Chief Executive Officercontrolsince 11/2018 · owns less than 5%
- G•••••• C••••••• A•• · General Counsel And Executive Vice Presidentcontrolsince 04/2019 · owns less than 5%
- G••••••• K••••••• J••• · Membercontrolsince 01/2007 · owns less than 5%
- G••••• P••••• A•••••• · Membercontrolsince 01/2006 · owns less than 5%
- H••••• L•••• E•••••••• · Membercontrolsince 01/2017 · owns less than 5%
- J••••• P•••••••• D•••• · Membercontrolsince 01/2020 · owns less than 5%
- N•••••• A•••••• E•••••••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- O••••••• K•••• B••••••• · Membercontrolsince 01/2006 · owns less than 5%
- S••••••••• K•••• · Membercontrolsince 01/2020 · owns less than 5%
- S•••••• P•••• M•••••• · Chief Of Corporate Strategy & Developmentcontrolsince 01/2019 · owns less than 5%
- W••••••• J•••••• A•••• · Membercontrolsince 07/2007 · owns less than 5%
- W•••••• R••••••• F•••••• · Membercontrolsince 07/2008 · owns less than 5%
Entity owners
- B••••• P•••••• F•••••••• H••••••• C••••••• I••• · Managing Memberdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- D••• M••••••••• L•••pooled vehicle sponsory
Advisers that list D•••••• G••••••• H••••••• M•••• • C••• L•• as a related person
- 105331 n
Offices
Schedule D 1.F, the 25 largest
- Naples, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 526 to 473Feb 12, 2021 to Mar 8, 2021
- Advisory employees · 8 to 7Feb 12, 2021 to Mar 8, 2021
- Charity clients · 6 to 2Feb 12, 2021 to Mar 8, 2021
- HNW clients · 66 to 50Feb 12, 2021 to Mar 8, 2021
- Individual clients · 349 to 318Feb 12, 2021 to Mar 8, 2021
- Pooled vehicle clients · 2 to 0Feb 12, 2021 to Mar 8, 2021
- Assets in custody · $25.9M to $19.7MFeb 12, 2021 to Mar 8, 2021
- Employees · 16 to 14Feb 12, 2021 to Mar 8, 2021
- Private funds · 2 to unsetFeb 12, 2021 to Mar 8, 2021
- Discretionary RAUM · $491M to $203MFeb 12, 2021 to Mar 8, 2021
- HNW RAUM · $281M to $56.6MFeb 12, 2021 to Mar 8, 2021
- Individual RAUM · $84.0M to $84.8MFeb 12, 2021 to Mar 8, 2021
- Non-discretionary RAUM · $34.8M to $41.7MFeb 12, 2021 to Mar 8, 2021
- Pension RAUM · $17.9M to $19.7MFeb 12, 2021 to Mar 8, 2021
- Pooled vehicle RAUM · $8.1M to $0Feb 12, 2021 to Mar 8, 2021
- RAUM · $526M to $245MFeb 12, 2021 to Mar 8, 2021
- Wrap assets (manager) · $84.0M to $84.8MFeb 12, 2021 to Mar 8, 2021
- Accounts · 575 to 526Nov 27, 2020 to Feb 12, 2021
- BD registered reps · 1 to 0Nov 27, 2020 to Feb 12, 2021
- Charity clients · 11 to 6Nov 27, 2020 to Feb 12, 2021
- Corporate clients · 2 to 0Nov 27, 2020 to Feb 12, 2021
- HNW clients · 68 to 66Nov 27, 2020 to Feb 12, 2021
- Individual clients · 382 to 349Nov 27, 2020 to Feb 12, 2021
- Pension plan clients · 11 to 9Nov 27, 2020 to Feb 12, 2021
- Assets in custody · $26.7M to $25.9MNov 27, 2020 to Feb 12, 2021
- Discretionary RAUM · $646M to $491MNov 27, 2020 to Feb 12, 2021
- HNW RAUM · $232M to $281MNov 27, 2020 to Feb 12, 2021
- Individual RAUM · $77.5M to $84.0MNov 27, 2020 to Feb 12, 2021
- Non-discretionary RAUM · $26.1M to $34.8MNov 27, 2020 to Feb 12, 2021
- Pension RAUM · $41.6M to $17.9MNov 27, 2020 to Feb 12, 2021
- Pooled vehicle RAUM · $9.4M to $8.1MNov 27, 2020 to Feb 12, 2021
- RAUM · $672M to $526MNov 27, 2020 to Feb 12, 2021
- Wrap assets (manager) · $77.5M to $84.0MNov 27, 2020 to Feb 12, 2021
- Accounts · 912 to 575Aug 14, 2020 to Oct 14, 2020
- Charity clients · 13 to 11Aug 14, 2020 to Oct 14, 2020
- HNW clients · 63 to 68Aug 14, 2020 to Oct 14, 2020
- Individual clients · 715 to 382Aug 14, 2020 to Oct 14, 2020
- Pension plan clients · 10 to 11Aug 14, 2020 to Oct 14, 2020
- Pooled vehicle clients · 3 to 2Aug 14, 2020 to Oct 14, 2020
- Assets in custody · $43.6M to $26.7MAug 14, 2020 to Oct 14, 2020
Signals
16 dated events
- D•••••• G••••••• H••••••• M•••• • C••• L•• reported RAUM $244.6M, down 54% from $526.3M (2021-02-12 to 2021-03-08)Mar 8, 2021 · RAUM change · derived
- Alan Douglas Chudy (Member) no longer on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L•• (listed 2021-02-12, absent 2021-03-08)Mar 8, 2021 · Control person left · inference
- Sean Michael Dunn (Member) no longer on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L•• (listed 2020-10-22, absent 2020-11-19)Nov 19, 2020 · Control person left · inference
- D•••••• G••••••• H••••••• M•••• • C••• L•• reported RAUM $671.9M, down 56% from $1.5B (2020-08-14 to 2020-10-14)Oct 14, 2020 · RAUM change · derived
- Howard Bruce Geller (Member) no longer on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L•• (listed 2020-06-30, absent 2020-07-29)Jul 29, 2020 · Control person left · inference
- Ann Dolores Casaletto (Member) no longer on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L•• (listed 2020-06-30, absent 2020-07-29)Jul 29, 2020 · Control person left · inference
- Ann Colleen Graham (General Counsel And Executive Vice President) appeared on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L••Jul 29, 2020 · Control person joined · fact
- Karen Schnetzer-Lamonge (Member) appeared on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L••Mar 4, 2020 · Control person joined · fact
- Diane Patricia Jones (Member) appeared on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L••Mar 4, 2020 · Control person joined · fact
- L Donald-Stephen Porter (Member) no longer on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L•• (listed 2019-03-05, absent 2019-08-01)Aug 1, 2019 · Control person left · inference
- Anthony Corey Griffin (Director) no longer on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L•• (listed 2019-01-11, absent 2019-03-05)Mar 5, 2019 · Control person left · inference
- Michael Paul Simons (Chief Of Corporate Strategy & Development) appeared on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L••Mar 5, 2019 · Control person joined · fact
- Elizabeth Audrey Niesen (Chief Compliance Officer) appeared on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L••Jan 11, 2019 · Control person joined · fact
- Anthony Dechellis (Chief Executive Officer) appeared on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L••Jan 11, 2019 · Control person joined · fact
- Brynne Erika Donalds (Chief Compliance Officer) no longer on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L•• (listed 2018-04-02, absent 2019-01-11)Jan 11, 2019 · Control person left · inference
- George Clayton Deutsch (Director) no longer on Schedule A of D•••••• G••••••• H••••••• M•••• • C••• L•• (listed 2018-04-02, absent 2019-01-11)Jan 11, 2019 · Control person left · inference
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