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
U••••• A•••••••
Legal name U••••• A•••••••• L••
Latest filing Oct 21, 2020
First filing on the tape Apr 2, 2012 · 24 filings
RAUM
$71.5M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
100%
$71.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$71.5M as of Jan 29, 2020
Apr 2, 2012$133M then
HNW client RAUM$5.0M as of Jan 29, 2020
Apr 2, 2018$16.0M then
State-registered IARs (5.B.3)3 as of Jan 29, 2020
Apr 1, 20139 then
Employees (5.A)5 as of Jan 29, 2020
Apr 1, 201310 then
Private funds: no history
RAUM +12% over the last fiscal year-19% a year over threeIARs 3 to 3offices 5 to 2
Practice profile
derived from the filing of Oct 21, 2020; every figure names its basis
- RAUM per advisor
- $23.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $140,736derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 70%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$66.5M93%
- High-net-worth individuals$5.0M7.0%
- Individual clients
- 184reported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 508reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- D•••• P•••••• P••• to B• R•••• W••••• A•••••••• I•••Sep 17, 2020 · RIA to affiliated broker-dealer or bank
- D••••• M• M•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 2, 2018 · RIA to affiliated broker-dealer or bank
- M•••••• H•••• M•••••••• to S•• I••••••••• A•••••••• I•••May 24, 2018 · Other
- G••••• B•••• B•••••• to A•••• P•••• A•••••••Apr 13, 2018 · RIA to affiliated broker-dealer or bank
- A••••• F•••• C••••••••• to A•••• P•••• A•••••••Apr 13, 2018 · RIA to affiliated broker-dealer or bank
- S•••••• L•••••• A••••• to A•••• P•••• A•••••••Mar 21, 2018 · Other
- I•• N• R••• to S•••••• P••••••• G••••May 25, 2017 · Other
- T•••••• J••• H••••• to A••••••• W••••• A••••••••• G•••• L••May 24, 2017 · Other
- Z•••••• D•••• H•••••• to M•• S••••••••• I•••Mar 8, 2017 · Other
- M••••• W••••• to W•••• F•••• A•••••••Sep 23, 2016 · Other
- S•••• D•••• M••••• to K•••••••• W••••• M••••••••• L••Jul 28, 2016 · Other
- F•••• P• E••••••••• to C•••••• P••••••••• L••Apr 22, 2016 · Other
- K•••• J••• H••••• to A••••••• W••••• A••••••••• G•••• L••Feb 23, 2016 · Other
- J••••••• S•••••• L•••••••• to A••••••• W••••• A••••••••• G•••• L••Feb 10, 2016 · Other
- K•••• N••••• to C••••• A••••••• L••Nov 23, 2015 · Other
Joined, latest
- Z•••••• D•••• H•••••• from M••••• S••••••Nov 16, 2016 · Other
- K•••• N••••• from J••• M••••• S••••••••• L••Jan 27, 2015 · Other
- J••••••• S•••••• L•••••••• from M••••• S••••••Apr 23, 2014 · Other
- S•••••• L•••••• A••••• from B•••••••• W••••• M••••••••• L••Mar 25, 2014 · Other
- K•••• J••• H••••• from M••••• S••••••Jan 15, 2014 · Other
- G••••• B•••• B•••••• from L•• F•••••••• L••Oct 21, 2013 · Other
- A••••• F•••• C••••••••• from L•• F•••••••• L••Oct 18, 2013 · Other
- S•••••• J• P•••••• from I••••••••• F•••••••• G••••• L••Dec 11, 2012 · Other
- M•••••• H•••• M•••••••• from A••••••• P••••••••• A•••••••• I••Nov 27, 2012 · Other
- M•••••• T••••• G••• from C••••• I••••••••• A••••••• L••Nov 22, 2012 · Other
- F•••• P• E••••••••• from N••••••••• M••••• I••••••••• S•••••••••Oct 10, 2012 · Other
- S•••• D•••• M••••• from A••••• F•••••••• P•••••••• I•••Aug 2, 2012 · Other
- D••••• M• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 18, 2010 · Other
- B• D•••• G•••••••• from G•••••••• F••••••••• I••Oct 12, 2009 · Other
- D•••• P•••••• P••• from W•••• F•••• A•••••••Feb 16, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••• P•••• A•••••••Apr 13, 2018 · Stevensville, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• M•••• H•••••• · Managing Membercontrolsince 01/2016 · owns 75% or more
- P•••• D••••• P•••••• · Senior Vice President / Managercontrolsince 01/2005 · owns less than 5%
- S••••••• J•••••• A••• · Chief Compliance Officer And Chief Operating Officersince 03/2016 · owns less than 5%
Related persons
Schedule D 7.A
- F•••broker-dealerinvestment advisernRAUM $204M
- P••••••• T••••••••• P•••••••investment advisernRAUM $1.2B
- U••••• A••••••• I••••••••• M••••••••• L••investment advisern
- U••••• A••••••• S•••••••• L••investment advisernRAUM $663M
Advisers that list U••••• A••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Maumee, OH1 employees
- , 1 employees
What changed
consecutive filings, newest first
- HQ city · NEW YORK to BOCA RATONJun 30, 2020 to Oct 21, 2020
- HQ state · NY to FLJun 30, 2020 to Oct 21, 2020
- Accounts · 512 to 508Mar 29, 2019 to Jan 29, 2020
- HQ city · MAUMEE to NEW YORKMar 29, 2019 to Jan 29, 2020
- HQ state · OH to NYMar 29, 2019 to Jan 29, 2020
- Other offices · 5 to 2Mar 29, 2019 to Jan 29, 2020
- Discretionary RAUM · $46.6M to $49.7MMar 29, 2019 to Jan 29, 2020
- HNW RAUM · $4.2M to $5.0MMar 29, 2019 to Jan 29, 2020
- Individual RAUM · $59.6M to $66.5MMar 29, 2019 to Jan 29, 2020
- Non-discretionary RAUM · $17.3M to $21.8MMar 29, 2019 to Jan 29, 2020
- RAUM · $63.9M to $71.5MMar 29, 2019 to Jan 29, 2020
- Accounts · 1,234 to 512Apr 2, 2018 to Mar 29, 2019
- Advisory employees · 9 to 3Apr 2, 2018 to Mar 29, 2019
- BD registered reps · 9 to 2Apr 2, 2018 to Mar 29, 2019
- HNW clients · 5 to 2Apr 2, 2018 to Mar 29, 2019
- Individual clients · 523 to 184Apr 2, 2018 to Mar 29, 2019
- Employees · 12 to 5Apr 2, 2018 to Mar 29, 2019
- State-registered IARs · 9 to 3Apr 2, 2018 to Mar 29, 2019
- Discretionary RAUM · $120M to $46.6MApr 2, 2018 to Mar 29, 2019
- HNW RAUM · $16.0M to $4.2MApr 2, 2018 to Mar 29, 2019
- Individual RAUM · $137M to $59.6MApr 2, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $33.4M to $17.3MApr 2, 2018 to Mar 29, 2019
- RAUM · $153M to $63.9MApr 2, 2018 to Mar 29, 2019
- Accounts · 421 to 1,234Mar 31, 2017 to Apr 2, 2018
- Advisory employees · 13 to 9Mar 31, 2017 to Apr 2, 2018
- BD registered reps · 13 to 9Mar 31, 2017 to Apr 2, 2018
- HNW clients · unset to 5.0Mar 31, 2017 to Apr 2, 2018
- Individual clients · unset to 523.0Mar 31, 2017 to Apr 2, 2018
- Employees · 20 to 12Mar 31, 2017 to Apr 2, 2018
- State-registered IARs · 13 to 9Mar 31, 2017 to Apr 2, 2018
- Other offices · unset to 5.0Mar 31, 2017 to Apr 2, 2018
- Discretionary RAUM · $110M to $120MMar 31, 2017 to Apr 2, 2018
- HNW RAUM · unset to 15997000.0Mar 31, 2017 to Apr 2, 2018
- Individual RAUM · unset to 136931000.0Mar 31, 2017 to Apr 2, 2018
- Non-discretionary RAUM · $25.2M to $33.4MMar 31, 2017 to Apr 2, 2018
- RAUM · $135M to $153MMar 31, 2017 to Apr 2, 2018
- Accounts · 1,660 to 421Aug 29, 2016 to Mar 31, 2017
- Discretionary RAUM · $177M to $110MAug 29, 2016 to Mar 31, 2017
- Non-discretionary RAUM · $23.6M to $25.2MAug 29, 2016 to Mar 31, 2017
- RAUM · $200M to $135MAug 29, 2016 to Mar 31, 2017
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