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
D••••••••• C•••••• M••••••••• L••
Latest filing Dec 9, 2015
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$420M
reported, Item 5.F
Discretionary
74%
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$472M as of Mar 19, 2015
Mar 30, 2012$523M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2015
Mar 30, 20120 then
Employees (5.A)4 as of Mar 19, 2015
Mar 28, 20136 then
Private funds: no history
RAUM -23% over the last fiscal year-7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 9, 2015; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $15.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 74%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 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
- 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
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
- 28reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• S•••••• L•• · Chief Compliance Officercontrolsince 08/2014 · owns less than 5%
- R•••• R•••••• J••• · Principalcontrolsince 08/2002 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• A•••• M•••••••••investment adviseryRAUM $31.7M
- R••••••••• I••••••••• M••••••••• L••investment advisernRAUM $1.8B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Business name · R•• A••••••••• I•• to D••••••••• C•••••• M••••••••• L••Oct 12, 2015 to Dec 9, 2015
- Legal name · R•• A••••••••• I•• to D••••••••• C•••••• M••••••••• L••Oct 12, 2015 to Dec 9, 2015
- Organization form · Limited Liability Company to CorporationOct 12, 2015 to Dec 9, 2015
- Organization form · Corporation to Limited Liability CompanyMar 19, 2015 to Oct 12, 2015
- Discretionary RAUM · $363M to $311MMar 19, 2015 to Oct 12, 2015
- RAUM · $472M to $420MMar 19, 2015 to Oct 12, 2015
- Accounts · 346 to 28Dec 2, 2014 to Mar 19, 2015
- Advisory employees · 4 to 3Dec 2, 2014 to Mar 19, 2015
- Advisory activities · 3 to 1Dec 2, 2014 to Mar 19, 2015
- Financial planning clients · 1-10 to 0Dec 2, 2014 to Mar 19, 2015
- Discretionary RAUM · $426M to $363MDec 2, 2014 to Mar 19, 2015
- Non-discretionary RAUM · $117M to $109MDec 2, 2014 to Mar 19, 2015
- RAUM · $543M to $472MDec 2, 2014 to Mar 19, 2015
- Advisory employees · 6 to 4Mar 28, 2014 to Dec 2, 2014
- Employees · 6 to 4Mar 28, 2014 to Dec 2, 2014
- Accounts · 316 to 346Mar 28, 2013 to Mar 28, 2014
- Discretionary RAUM · $354M to $426MMar 28, 2013 to Mar 28, 2014
- Non-discretionary RAUM · $98.0M to $117MMar 28, 2013 to Mar 28, 2014
- RAUM · $452M to $543MMar 28, 2013 to Mar 28, 2014
- Accounts · 300 to 316Aug 23, 2012 to Mar 28, 2013
- Advisory employees · unset to 6.0Aug 23, 2012 to Mar 28, 2013
- Employees · unset to 6.0Aug 23, 2012 to Mar 28, 2013
- Discretionary RAUM · $315M to $354MAug 23, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $207M to $98.0MAug 23, 2012 to Mar 28, 2013
- RAUM · $523M to $452MAug 23, 2012 to Mar 28, 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