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••• P•••••• G••••••••
Latest filing Mar 27, 2019
First filing on the tape Mar 30, 2012 · 32 filings
RAUM
$296M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
54%
$159M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
12 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$296M as of Mar 27, 2019
Mar 30, 2012$4.1B then
HNW client RAUM$159M as of Mar 27, 2019
Mar 30, 2018$151M then
State-registered IARs (5.B.3)14 as of Mar 27, 2019
Mar 30, 20120 then
Employees (5.A)14 as of Mar 27, 2019
Mar 28, 201314 then
Private funds: no history
RAUM +2.7% over the last fiscal year-64% a year over threeIARs 15 to 14
Practice profile
derived from the filing of Mar 27, 2019; every figure names its basis
- RAUM per advisor
- $21.2MderivedRAUM 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
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 46%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $296M, 148 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$159M54%
- Pension and profit-sharing plans$138M46%
- Individual clients
- n/areported
- HNW clients
- 145reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 148reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $296M for 148 clientsreported
- 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
- C••••••••• C•••••• M••••••• to C••••• P••••••• R••••••••• P••• C•••••••••Dec 31, 2019 · Other
- T• E••••• P•••••• to C••••• P••••••• R••••••••• P••• C•••••••••Apr 8, 2019 · Other
- C•••••• L•• E••• to C••••• P••••••• R••••••••• P••• C•••••••••Apr 8, 2019 · Other
- G••• M•••••• S•••••••• to C••••• P••••••• L••Apr 8, 2019 · RIA to RIA
- S•••• J••• B••••••• to C••••• P••••••• L••Apr 8, 2019 · RIA to RIA
- P••• A•••••• S••••••••• to C••••• P••••••• R••••••••• P••• C•••••••••Apr 8, 2019 · Other
- C•••• T••••• A•••• to D••••••••• P••••••••• I•••Jul 24, 2018 · RIA to RIA
- K•••• M•••••• M•••• to N••••• A•••• M••••••••• L••May 2, 2012 · Other
- C•••• F•••••• P••••••• B••• to L•••••• I••••••••• A•••••••• L••Aug 17, 2009 · Other
Joined, latest
- C•••••• L•• E••• from F•••••••• T••••••• I•••May 8, 2014 · Other
- C•••• T••••• A•••• from B•••••••• R••••• • F•••••••• I•••Jun 25, 2013 · Other
- C••••••••• C•••••• M••••••• from R• F•••••••• G••••• L••May 30, 2012 · Other
- G••• M•••••• S•••••••• from W••••••••• F•••••••• G••••• I•••Dec 7, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••• P••••••• L••Apr 8, 2019 · Chicago, Il
- 3 left for C••••• P••••••• R••••••••• P••• C•••••••••Apr 8, 2019 · Chicago, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• M••••••• W•••• · Managing Directorcontrolsince 08/2002 · owns 25% to 50%
- M•••••••• C••••••••• C•••••• · Chief Compliance Officercontrolsince 01/2018 · owns 5% to 10%
- P••••••• T•• E••••• · Member: Investment Advisor Representativecontrolsince 05/2013 · owns 10% to 25%
- S••••••••• G•••• M•••••• · Chief Investment Officer; Wealth Management Practice Leadercontrolsince 05/2013 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Johns Creek, GA1 employees
- Keizer, OR1 employees
- Pittsburgh, PA1 employees
- Valrico, FL1 employees
- Wayne, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 575 to 148Sep 11, 2018 to Mar 27, 2019
- Advisory employees · 15 to 12Sep 11, 2018 to Mar 27, 2019
- Advisory activities · 4 to 5Sep 11, 2018 to Mar 27, 2019
- HNW clients · 149 to 145Sep 11, 2018 to Mar 27, 2019
- Pension plan clients · 6 to 9Sep 11, 2018 to Mar 27, 2019
- Assets in custody · $288M to $296MSep 11, 2018 to Mar 27, 2019
- Employees · 17 to 14Sep 11, 2018 to Mar 27, 2019
- Financial planning clients · 51-100 to 101-250Sep 11, 2018 to Mar 27, 2019
- State-registered IARs · 15 to 14Sep 11, 2018 to Mar 27, 2019
- Discretionary RAUM · $288M to $296MSep 11, 2018 to Mar 27, 2019
- HNW RAUM · $151M to $159MSep 11, 2018 to Mar 27, 2019
- Pension RAUM · $137M to $138MSep 11, 2018 to Mar 27, 2019
- RAUM · $288M to $296MSep 11, 2018 to Mar 27, 2019
- Accounts · 155 to 575Apr 17, 2018 to Aug 30, 2018
- Assets in custody · unset to 288432718.0Apr 17, 2018 to Aug 30, 2018
- Custody of client assets · false to trueApr 17, 2018 to Aug 30, 2018
- Accounts · 582 to 155Feb 7, 2018 to Mar 30, 2018
- Advisory employees · 8 to 15Feb 7, 2018 to Mar 30, 2018
- Charity clients · 0.0 to unsetFeb 7, 2018 to Mar 30, 2018
- Corporate clients · 0.0 to unsetFeb 7, 2018 to Mar 30, 2018
- HNW clients · 0 to 149Feb 7, 2018 to Mar 30, 2018
- Individual clients · 0.0 to unsetFeb 7, 2018 to Mar 30, 2018
- Pension plan clients · 0 to 6Feb 7, 2018 to Mar 30, 2018
- Pooled vehicle clients · 0.0 to unsetFeb 7, 2018 to Mar 30, 2018
- Commission compensation · true to falseFeb 7, 2018 to Mar 30, 2018
- Employees · 14 to 17Feb 7, 2018 to Mar 30, 2018
- State-registered IARs · 7 to 15Feb 7, 2018 to Mar 30, 2018
- Discretionary RAUM · $268M to $288MFeb 7, 2018 to Mar 30, 2018
- HNW RAUM · $0 to $151MFeb 7, 2018 to Mar 30, 2018
- Individual RAUM · 0.0 to unsetFeb 7, 2018 to Mar 30, 2018
- Non-discretionary RAUM · $6.9B to $0Feb 7, 2018 to Mar 30, 2018
- Pension RAUM · $0 to $137MFeb 7, 2018 to Mar 30, 2018
- Pooled vehicle RAUM · 0.0 to unsetFeb 7, 2018 to Mar 30, 2018
- RAUM · $7.1B to $288MFeb 7, 2018 to Mar 30, 2018
- Other offices · 4 to 6Jan 10, 2018 to Feb 7, 2018
- Charity clients · unset to 0.0Mar 29, 2017 to Jan 10, 2018
- Corporate clients · unset to 0.0Mar 29, 2017 to Jan 10, 2018
- HNW clients · unset to 0.0Mar 29, 2017 to Jan 10, 2018
- Individual clients · unset to 0.0Mar 29, 2017 to Jan 10, 2018
- Pension plan clients · unset to 0.0Mar 29, 2017 to Jan 10, 2018
Signals
1 dated events
- B••• P•••••• G•••••••• reported RAUM $288.4M, down 96% from $7.1B (2018-02-07 to 2018-03-30)Mar 30, 2018 · RAUM change · 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