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

S••••• P•••••••• A•••••••• L••

Former SEC-registered adviserCRD 134092SEC 801-70098IAPD
Latest filing Apr 25, 2014
First filing on the tape Feb 8, 2012 · 7 filings
RAUM
$1.2M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$1.2M as of Feb 19, 2014
Feb 8, 2012$45.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 19, 2014
Feb 8, 20120 then
Employees (5.A)3 as of Feb 19, 2014
Feb 7, 20135 then
Private funds: no history
RAUM -95% over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Apr 25, 2014; every figure names its basis
RAUM per advisor
$408,333derivedRAUM 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
$136,111derivedRAUM 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
0.6derived5 offices incl. principal (1.F.5)
RAUM growth, one year
-95%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • 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)
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
9reported
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
Left, latest
none on the tape
    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
      • S•••••• M••••••• A•• · Membercontrol
        since 01/2005 · owns 50% to 75%
      • S•••••• T•••••• J••• · Managing Member, Presidentcontrol
        since 09/2005 · owns less than 5%
      • U••• E••••••••• M••• · Managing Member & Chief Compliance Officercontrol
        since 02/2006 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • Advisory activities · 3 to 2
        Mar 10, 2014 to Apr 25, 2014
      • Accounts · 6 to 9
        Oct 25, 2013 to Feb 19, 2014
      • Discretionary RAUM · $1.0M to $1.2M
        Oct 25, 2013 to Feb 19, 2014
      • RAUM · $1.0M to $1.2M
        Oct 25, 2013 to Feb 19, 2014
      • Accounts · 1 to 6
        Feb 7, 2013 to Oct 25, 2013
      • Advisory employees · 4 to 3
        Feb 7, 2013 to Oct 25, 2013
      • Employees · 5 to 3
        Feb 7, 2013 to Oct 25, 2013
      • State-registered IARs · 4 to 3
        Feb 7, 2013 to Oct 25, 2013
      • Discretionary RAUM · $25.8M to $1.0M
        Feb 7, 2013 to Oct 25, 2013
      • RAUM · $25.8M to $1.0M
        Feb 7, 2013 to Oct 25, 2013
      • Advisory employees · unset to 4.0
        Feb 8, 2012 to Feb 7, 2013
      • Advisory activities · 1 to 3
        Feb 8, 2012 to Feb 7, 2013
      • Employees · unset to 5.0
        Feb 8, 2012 to Feb 7, 2013
      • State-registered IARs · 0 to 4
        Feb 8, 2012 to Feb 7, 2013
      • Discretionary RAUM · $45.5M to $25.8M
        Feb 8, 2012 to Feb 7, 2013
      • RAUM · $45.5M to $25.8M
        Feb 8, 2012 to Feb 7, 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