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

G••• C•••••• M••••••••• I•••

Former SEC-registered adviserCRD 134697SEC 801-77624IAPD
Latest filing Mar 29, 2022
First filing on the tape Jan 31, 2013 · 13 filings
RAUM
$35.6M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$33.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$35.6M as of Mar 29, 2022
Mar 27, 2014$18.4M then
HNW client RAUM$21.7M as of Mar 29, 2022
Mar 29, 2018$16.3M then
State-registered IARs (5.B.3)2 as of Mar 29, 2022
Mar 27, 20142 then
Employees (5.A)2 as of Mar 29, 2022
Mar 27, 20142 then
Private funds: no history
RAUM -2.4% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 2022; every figure names its basis
RAUM per advisor
$17.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$93,331derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-2.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-9.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, publicationsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$21.7M61%
  • Individuals$11.7M33%
  • Pension and profit-sharing plans$2.1M5.9%
  • Corporations and businesses$55,3030.2%
Individual clients
111reported
HNW clients
9reported
Pension plan clients
4reported
Charitable clients
n/areported
Accounts
381reported
Financial planning clients
0reported
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
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
    • L••••• V•••••• J•••• · Chief Compliance Officercontrol
      since 03/2014 · owns less than 5%
    • P••••••• J••••• C•••••• · President, Chief Financial Officercontrol
      since 01/1991 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 338 to 381
      Mar 26, 2021 to Mar 29, 2022
    • Advisory activities · 2 to 3
      Mar 26, 2021 to Mar 29, 2022
    • Corporate clients · 2 to 1
      Mar 26, 2021 to Mar 29, 2022
    • Individual clients · 123 to 111
      Mar 26, 2021 to Mar 29, 2022
    • Pension plan clients · 2 to 4
      Mar 26, 2021 to Mar 29, 2022
    • Financial planning clients · 101-250 to 0
      Mar 26, 2021 to Mar 29, 2022
    • Discretionary RAUM · $35.1M to $33.5M
      Mar 26, 2021 to Mar 29, 2022
    • HNW RAUM · $22.8M to $21.7M
      Mar 26, 2021 to Mar 29, 2022
    • Individual RAUM · $12.2M to $11.7M
      Mar 26, 2021 to Mar 29, 2022
    • Non-discretionary RAUM · $1.3M to $2.1M
      Mar 26, 2021 to Mar 29, 2022
    • Pension RAUM · $1.3M to $2.1M
      Mar 26, 2021 to Mar 29, 2022
    • RAUM · $36.4M to $35.6M
      Mar 26, 2021 to Mar 29, 2022
    • Accounts · 327 to 338
      May 27, 2020 to Mar 26, 2021
    • Corporate clients · unset to 2.0
      May 27, 2020 to Mar 26, 2021
    • HNW clients · 8 to 9
      May 27, 2020 to Mar 26, 2021
    • Individual clients · 126 to 123
      May 27, 2020 to Mar 26, 2021
    • Financial planning clients · unset to 101-250
      May 27, 2020 to Mar 26, 2021
    • Discretionary RAUM · $28.5M to $35.1M
      May 27, 2020 to Mar 26, 2021
    • HNW RAUM · $17.7M to $22.8M
      May 27, 2020 to Mar 26, 2021
    • Individual RAUM · $10.8M to $12.2M
      May 27, 2020 to Mar 26, 2021
    • Non-discretionary RAUM · $855,323 to $1.3M
      May 27, 2020 to Mar 26, 2021
    • Pension RAUM · $855,323 to $1.3M
      May 27, 2020 to Mar 26, 2021
    • RAUM · $29.4M to $36.4M
      May 27, 2020 to Mar 26, 2021
    • Accounts · 230 to 327
      Mar 25, 2019 to Mar 26, 2020
    • HNW clients · 10 to 8
      Mar 25, 2019 to Mar 26, 2020
    • Individual clients · 142 to 126
      Mar 25, 2019 to Mar 26, 2020
    • Pension plan clients · unset to 2.0
      Mar 25, 2019 to Mar 26, 2020
    • Discretionary RAUM · $26.6M to $28.5M
      Mar 25, 2019 to Mar 26, 2020
    • HNW RAUM · $17.6M to $17.7M
      Mar 25, 2019 to Mar 26, 2020
    • Individual RAUM · $9.1M to $10.8M
      Mar 25, 2019 to Mar 26, 2020
    • Non-discretionary RAUM · $21,587 to $855,323
      Mar 25, 2019 to Mar 26, 2020
    • Pension RAUM · $21,587 to $855,323
      Mar 25, 2019 to Mar 26, 2020
    • RAUM · $26.7M to $29.4M
      Mar 25, 2019 to Mar 26, 2020
    • Accounts · 229 to 230
      Oct 18, 2018 to Mar 25, 2019
    • Advisory activities · 1 to 2
      Oct 18, 2018 to Mar 25, 2019
    • HNW clients · 12 to 10
      Oct 18, 2018 to Mar 25, 2019
    • Individual clients · 143 to 142
      Oct 18, 2018 to Mar 25, 2019
    • Discretionary RAUM · $24.4M to $26.6M
      Oct 18, 2018 to Mar 25, 2019
    • HNW RAUM · $16.3M to $17.6M
      Oct 18, 2018 to Mar 25, 2019
    • Individual RAUM · $8.1M to $9.1M
      Oct 18, 2018 to Mar 25, 2019
    Signals
    2 dated events
    • V••••• J•••• L•••• left G••• C•••••• M••••••••• I••• for M••••• A•••••••• L•• (registered 2022-06-30)
      Jul 29, 2022 · Advisor changed firm · fact
    • G••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Jan 31, 2013 · First SEC registration · fact
    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