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

C•••••• I••••••••• C••••••

Former SEC-registered adviserHunt Valley, MarylandCRD 135656SEC 801-64324IAPD
Legal name C•••••• I••••••••• C••••••• L••
Latest filing Mar 23, 2018
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$123M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
88%
$109M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$123M as of Mar 23, 2018
Mar 28, 2012$292M then
HNW client RAUM: $89.7M
State-registered IARs (5.B.3)2 as of Mar 23, 2018
Mar 25, 20133 then
Employees (5.A)4 as of Mar 23, 2018
Mar 25, 20136 then
Private funds: no history
RAUM +6.8% over the last fiscal year+2.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 2018; every figure names its basis
RAUM per advisor
$61.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$599,859derivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$6.5M, 6 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
  • High-net-worth individuals$89.7M73%
  • Individuals$19.0M15%
  • Charitable organizations$8.5M6.9%
  • Pension and profit-sharing plans$3.8M3.1%
  • Corporations and businesses$1.9M1.5%
Individual clients
60reported
HNW clients
47reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
205reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$6.5M for 6 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••• E•••••• K•••••• · Chief Compliance Officer, President, Yorkshire Associatescontrol
    since 11/1988 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • HNW clients · unset to 47.0
    Mar 8, 2017 to Mar 23, 2018
  • Individual clients · unset to 60.0
    Mar 8, 2017 to Mar 23, 2018
  • Pooled vehicle clients · unset to 0.0
    Mar 8, 2017 to Mar 23, 2018
  • Assets in custody · $0 to $6.5M
    Mar 8, 2017 to Mar 23, 2018
  • Other offices · unset to 0.0
    Mar 8, 2017 to Mar 23, 2018
  • Discretionary RAUM · $95.8M to $101M
    Mar 8, 2017 to Mar 23, 2018
  • HNW RAUM · unset to 89732464.0
    Mar 8, 2017 to Mar 23, 2018
  • Individual RAUM · unset to 19026015.0
    Mar 8, 2017 to Mar 23, 2018
  • Non-discretionary RAUM · $19.3M to $22.0M
    Mar 8, 2017 to Mar 23, 2018
  • Pension RAUM · unset to 3841609.0
    Mar 8, 2017 to Mar 23, 2018
  • RAUM · $115M to $123M
    Mar 8, 2017 to Mar 23, 2018
  • Accounts · 197 to 205
    Mar 23, 2016 to Mar 8, 2017
  • Advisory employees · 1 to 2
    Mar 23, 2016 to Mar 8, 2017
  • Employees · 3 to 4
    Mar 23, 2016 to Mar 8, 2017
  • State-registered IARs · 1 to 2
    Mar 23, 2016 to Mar 8, 2017
  • Discretionary RAUM · $88.5M to $95.8M
    Mar 23, 2016 to Mar 8, 2017
  • Non-discretionary RAUM · $18.2M to $19.3M
    Mar 23, 2016 to Mar 8, 2017
  • RAUM · $107M to $115M
    Mar 23, 2016 to Mar 8, 2017
  • Accounts · 191 to 197
    Mar 16, 2015 to Mar 23, 2016
  • Financial planning clients · 11-25 to 26-50
    Mar 16, 2015 to Mar 23, 2016
  • Discretionary RAUM · $90.7M to $88.5M
    Mar 16, 2015 to Mar 23, 2016
  • Non-discretionary RAUM · $23.4M to $18.2M
    Mar 16, 2015 to Mar 23, 2016
  • RAUM · $114M to $107M
    Mar 16, 2015 to Mar 23, 2016
  • Accounts · 204 to 191
    Jun 20, 2014 to Mar 16, 2015
  • Financial planning clients · 26-50 to 11-25
    Jun 20, 2014 to Mar 16, 2015
  • Discretionary RAUM · $102M to $90.7M
    Jun 20, 2014 to Mar 16, 2015
  • Non-discretionary RAUM · $23.3M to $23.4M
    Jun 20, 2014 to Mar 16, 2015
  • RAUM · $125M to $114M
    Jun 20, 2014 to Mar 16, 2015
  • Accounts · 432 to 204
    Mar 21, 2014 to May 23, 2014
  • Advisory employees · 2 to 1
    Mar 21, 2014 to May 23, 2014
  • Employees · 5 to 3
    Mar 21, 2014 to May 23, 2014
  • State-registered IARs · 2 to 1
    Mar 21, 2014 to May 23, 2014
  • Discretionary RAUM · $278M to $102M
    Mar 21, 2014 to May 23, 2014
  • Non-discretionary RAUM · $34.2M to $23.3M
    Mar 21, 2014 to May 23, 2014
  • RAUM · $312M to $125M
    Mar 21, 2014 to May 23, 2014
  • Accounts · 490 to 432
    Mar 25, 2013 to Mar 21, 2014
  • Advisory employees · 3 to 2
    Mar 25, 2013 to Mar 21, 2014
  • Employees · 6 to 5
    Mar 25, 2013 to Mar 21, 2014
  • Financial planning clients · 11-25 to 26-50
    Mar 25, 2013 to Mar 21, 2014
  • State-registered IARs · 3 to 2
    Mar 25, 2013 to Mar 21, 2014
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