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
R••• I•••••••• • C••••••••• I•••••••••
Latest filing Mar 30, 2023
First filing on the tape Feb 7, 2012 · 17 filings
RAUM
$782M
reported, Item 5.F
Discretionary
55%
of RAUM
Private clients
39%
$304M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$234M gross assets
History
17 filings and snapshots on the tape
RAUM$782M as of Mar 30, 2023
Feb 22, 2013$248M then
HNW client RAUM$304M as of Mar 30, 2023
Mar 29, 2018$13.3M then
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Feb 22, 20130 then
Employees (5.A)6 as of Mar 30, 2023
Feb 22, 20136 then
Private funds3 as of Mar 30, 2023
Feb 22, 20133 then
RAUM +35% over the last fiscal year+45% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; 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
- $25.4MderivedHNW RAUM over HNW clients
- Average account
- $28.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 55%derivedof RAUM
- Institutional
- 8.5%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
- +35%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 fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $234M, 3 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$355M45%
- High-net-worth individuals$304M39%
- Charitable organizations$66.6M8.5%
- Corporations and businesses$55.7M7.1%
- Individual clients
- n/areported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 27reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $234M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- 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
- S•••••• M•••• S••••• · P••••••••/Managercontrolsince 03/1993 · owns less than 5%
- S•••••• M•••• S••••• · Shareholdercontrolsince 01/2023 · owns 75% or more of R••• H•••••••• I••
- B••••••••• S••••• E•••••••• · Consultantsince 10/2021 · owns less than 5%
- B••••• K••••••• N••• · Consultantsince 12/1994 · owns less than 5%
- N•••• E•••••• K••••• · Chief Compliance Officersince 12/2022 · owns less than 5%
Entity owners
- R••• H•••••••• I•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••• S• S•••••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 20 to 27Jan 19, 2023 to Mar 30, 2023
- Charity clients · 5 to 7Jan 19, 2023 to Mar 30, 2023
- Corporate clients · 1 to 2Jan 19, 2023 to Mar 30, 2023
- HNW clients · 8 to 12Jan 19, 2023 to Mar 30, 2023
- Assets in custody · $279M to $234MJan 19, 2023 to Mar 30, 2023
- Organization form · Corporation to Limited Liability CompanyJan 19, 2023 to Mar 30, 2023
- Discretionary RAUM · $422M to $431MJan 19, 2023 to Mar 30, 2023
- HNW RAUM · $138M to $304MJan 19, 2023 to Mar 30, 2023
- Non-discretionary RAUM · $157M to $351MJan 19, 2023 to Mar 30, 2023
- Pooled vehicle RAUM · $420M to $355MJan 19, 2023 to Mar 30, 2023
- RAUM · $579M to $782MJan 19, 2023 to Mar 30, 2023
- Succession · false to trueJan 19, 2023 to Mar 30, 2023
- Accounts · 11 to 20Nov 4, 2021 to Mar 31, 2022
- Advisory employees · 3 to 6Nov 4, 2021 to Mar 31, 2022
- Charity clients · 1 to 5Nov 4, 2021 to Mar 31, 2022
- HNW clients · 5 to 8Nov 4, 2021 to Mar 31, 2022
- Pooled vehicle clients · 3 to 6Nov 4, 2021 to Mar 31, 2022
- Assets in custody · $242M to $279MNov 4, 2021 to Mar 31, 2022
- Employees · 5 to 6Nov 4, 2021 to Mar 31, 2022
- Discretionary RAUM · $276M to $422MNov 4, 2021 to Mar 31, 2022
- HNW RAUM · $13.0M to $138MNov 4, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $157MNov 4, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $262M to $420MNov 4, 2021 to Mar 31, 2022
- RAUM · $276M to $579MNov 4, 2021 to Mar 31, 2022
- Employees · 6 to 5Jun 23, 2020 to Mar 24, 2021
- Discretionary RAUM · $256M to $276MJun 23, 2020 to Mar 24, 2021
- HNW RAUM · $14.4M to $13.0MJun 23, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $242M to $262MJun 23, 2020 to Mar 24, 2021
- RAUM · $256M to $276MJun 23, 2020 to Mar 24, 2021
- Assets in custody · $231M to $242MMar 28, 2019 to Mar 26, 2020
- Other offices · 1 to 0Mar 28, 2019 to Mar 26, 2020
- Discretionary RAUM · $243M to $256MMar 28, 2019 to Mar 26, 2020
- HNW RAUM · $11.9M to $14.4MMar 28, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $231M to $242MMar 28, 2019 to Mar 26, 2020
- RAUM · $243M to $256MMar 28, 2019 to Mar 26, 2020
- Assets in custody · $236M to $231MMar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $249M to $243MMar 29, 2018 to Mar 28, 2019
- HNW RAUM · $13.3M to $11.9MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $236M to $231MMar 29, 2018 to Mar 28, 2019
- RAUM · $249M to $243MMar 29, 2018 to Mar 28, 2019
Signals
3 dated events
- R••• I•••••••• • C••••••••• I••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 30, 2023 · Succession (Item 4) · fact
- R••• I•••••••• • C••••••••• I••••••••• reported RAUM $781.5M, up 35% from $579.2M (2023-01-19 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- R••• I•••••••• • C••••••••• I••••••••• reported RAUM $579.2M, up 110% from $275.7M (2021-11-04 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- R••• I•••••••• • C••••••••• I••••••••• · Private Equityshared crd · organization
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