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
V•••• F•••••••• A•••••••• I•••
Latest filing Jun 13, 2016
First filing on the tape Mar 27, 2012 · 11 filings
RAUM
$69.2M
reported, Item 5.F
Discretionary
6.7%
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$69.2M as of Mar 23, 2016
Mar 27, 2012$136M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 23, 2016
Mar 28, 20133 then
Employees (5.A)3 as of Mar 23, 2016
Mar 28, 20133 then
Private funds: no history
RAUM -33% over the last fiscal year-19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 13, 2016; every figure names its basis
- RAUM per advisor
- $34.6MderivedRAUM 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
- $116,378derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 6.7%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -33%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 595reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- J••••••• R•••••• S•••••• · President And Chief Compliance Officercontrolsince 12/1994 · owns 10% to 25%
- D•••• R•••••• G•••• · Shareholdersince 12/2004 · owns 10% to 25%
- S••••• D•••••• V• · Shareholdersince 12/2005 · owns 10% to 25%
Related persons
Schedule D 7.A
- V•••• I•••••••• G••••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 2 to 1May 4, 2016 to Jun 13, 2016
- Financial planning clients · 1-10 to 0May 4, 2016 to Jun 13, 2016
- Accounts · 776 to 595Mar 26, 2015 to Mar 23, 2016
- Discretionary RAUM · $101M to $4.6MMar 26, 2015 to Mar 23, 2016
- Non-discretionary RAUM · $3.0M to $64.6MMar 26, 2015 to Mar 23, 2016
- RAUM · $104M to $69.2MMar 26, 2015 to Mar 23, 2016
- Accounts · 705 to 776Aug 29, 2014 to Mar 26, 2015
- Employees · 2 to 3Aug 29, 2014 to Mar 26, 2015
- Discretionary RAUM · $113M to $101MAug 29, 2014 to Mar 26, 2015
- Non-discretionary RAUM · $5.2M to $3.0MAug 29, 2014 to Mar 26, 2015
- RAUM · $119M to $104MAug 29, 2014 to Mar 26, 2015
- Advisory employees · 3 to 2Mar 10, 2014 to Aug 29, 2014
- Employees · 3 to 2Mar 10, 2014 to Aug 29, 2014
- Accounts · 816 to 705Sep 26, 2013 to Mar 10, 2014
- State-registered IARs · 3 to 2Sep 26, 2013 to Mar 10, 2014
- Discretionary RAUM · $112M to $113MSep 26, 2013 to Mar 10, 2014
- Non-discretionary RAUM · $16.7M to $5.2MSep 26, 2013 to Mar 10, 2014
- RAUM · $129M to $119MSep 26, 2013 to Mar 10, 2014
- Accounts · 534 to 816Aug 28, 2012 to Mar 28, 2013
- Advisory employees · unset to 3.0Aug 28, 2012 to Mar 28, 2013
- Employees · unset to 3.0Aug 28, 2012 to Mar 28, 2013
- HQ city · J••••••VILLE to PONTE VEDRA BEACHAug 28, 2012 to Mar 28, 2013
- State-registered IARs · unset to 3.0Aug 28, 2012 to Mar 28, 2013
- Discretionary RAUM · $119M to $112MAug 28, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $17.1M to $16.7MAug 28, 2012 to Mar 28, 2013
- RAUM · $136M to $129MAug 28, 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