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••••••••• L••

Former SEC-registered adviserBaltimore, MarylandCRD 131535SEC 801-67033IAPD
Latest filing Jun 12, 2014
First filing on the tape Dec 1, 2011 · 28 filings
RAUM
$5.2M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$5.2M as of Mar 31, 2014
Jan 19, 2012$606M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 31, 2014
Jan 19, 20120 then
Employees (5.A)7 as of Mar 31, 2014
Jan 4, 201310 then
Private funds: no history
RAUM -99% over the last fiscal yearIARs 5 to 4
Practice profile
derived from the filing of Jun 12, 2014; every figure names its basis
RAUM per advisor
$1.3MderivedRAUM 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
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-99%derivedbetween the last two annual amendments
Advisor growth, one year
+40%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
  • 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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••••••• T•••••••• M••••• · Managing Membercontrol
    since 04/2004 · owns 50% to 75%
  • M••••••• M••••••• H••• · Chief Compliance Officercontrol
    since 04/2004 · owns less than 5%
  • B•••• C••••••• C••• · Ownercontrol
    since 01/1990 · owns 75% or more of R••••• LLC
  • F••••• C••••••••• A••••• · Investor
    since 12/2007 · owns 5% to 10%
Entity owners
  • R••••• I•• · Investor
    direct · owns 5% to 10%
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
  • Employees · 3 to 4
    Apr 9, 2014 to Jun 2, 2014
  • State-registered IARs · 2 to 4
    Apr 9, 2014 to Jun 2, 2014
  • Advisory employees · 5 to 2
    Apr 2, 2014 to Apr 9, 2014
  • Employees · 7 to 3
    Apr 2, 2014 to Apr 9, 2014
  • State-registered IARs · 7 to 2
    Apr 2, 2014 to Apr 9, 2014
  • Accounts · 11 to 5
    Nov 20, 2013 to Mar 31, 2014
  • Employees · 8 to 7
    Nov 20, 2013 to Mar 31, 2014
  • Discretionary RAUM · $129M to $5.2M
    Nov 20, 2013 to Mar 31, 2014
  • RAUM · $129M to $5.2M
    Nov 20, 2013 to Mar 31, 2014
  • Accounts · 12 to 11
    Jul 19, 2013 to Sep 4, 2013
  • Advisory employees · 6 to 5
    Jul 19, 2013 to Sep 4, 2013
  • Employees · 9 to 8
    Jul 19, 2013 to Sep 4, 2013
  • State-registered IARs · 6 to 7
    Jul 19, 2013 to Sep 4, 2013
  • Discretionary RAUM · $136M to $129M
    Jul 19, 2013 to Sep 4, 2013
  • RAUM · $136M to $129M
    Jul 19, 2013 to Sep 4, 2013
  • Accounts · 19 to 12
    Jun 17, 2013 to Jul 19, 2013
  • State-registered IARs · 5 to 6
    Jun 17, 2013 to Jul 19, 2013
  • Discretionary RAUM · $259M to $136M
    Jun 17, 2013 to Jul 19, 2013
  • RAUM · $259M to $136M
    Jun 17, 2013 to Jul 19, 2013
  • Accounts · 23 to 19
    Jan 4, 2013 to Apr 3, 2013
  • Employees · 10 to 9
    Jan 4, 2013 to Apr 3, 2013
  • Discretionary RAUM · $401M to $259M
    Jan 4, 2013 to Apr 3, 2013
  • RAUM · $401M to $259M
    Jan 4, 2013 to Apr 3, 2013
  • Accounts · 26 to 23
    Nov 30, 2012 to Jan 4, 2013
  • Discretionary RAUM · $473M to $401M
    Nov 30, 2012 to Jan 4, 2013
  • RAUM · $473M to $401M
    Nov 30, 2012 to Jan 4, 2013
  • Accounts · 31 to 26
    Nov 14, 2012 to Nov 20, 2012
  • Discretionary RAUM · $551M to $473M
    Nov 14, 2012 to Nov 20, 2012
  • RAUM · $551M to $473M
    Nov 14, 2012 to Nov 20, 2012
  • Advisory employees · unset to 6.0
    Sep 26, 2012 to Nov 14, 2012
  • Employees · unset to 10.0
    Sep 26, 2012 to Nov 14, 2012
  • State-registered IARs · 0 to 5
    Sep 26, 2012 to Nov 14, 2012
  • Accounts · 40 to 31
    Jul 26, 2012 to Sep 26, 2012
  • Discretionary RAUM · $689M to $551M
    Jul 26, 2012 to Sep 26, 2012
  • RAUM · $689M to $551M
    Jul 26, 2012 to Sep 26, 2012
  • Discretionary RAUM · $606M to $689M
    Jan 19, 2012 to Apr 9, 2012
  • RAUM · $606M to $689M
    Jan 19, 2012 to Apr 9, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 1, 2011 to Jan 19, 2012
  • Discretionary RAUM · $507M to $606M
    Dec 1, 2011 to Jan 19, 2012
  • RAUM · $507M to $606M
    Dec 1, 2011 to Jan 19, 2012
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