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
I•• A••••••• S•••••••• L••
Latest filing Mar 7, 2019
First filing on the tape Mar 12, 2012 · 14 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
12%
$124M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$1.0B as of Mar 7, 2019
Mar 12, 2012$419M then
HNW client RAUM$66.2M as of Mar 7, 2019
Mar 1, 2018$54.5M then
State-registered IARs (5.B.3)5 as of Mar 7, 2019
Mar 22, 20135 then
Employees (5.A)10 as of Mar 7, 2019
Mar 22, 20139 then
Private funds: no history
RAUM -1.3% over the last fiscal year+12% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 7, 2019; every figure names its basis
- RAUM per advisor
- $207MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 146derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 87%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $778MreportedItem 5.I
- 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
- State and municipal entities$784M76%
- Pension and profit-sharing plans$120M12%
- High-net-worth individuals$66.2M6.4%
- Individuals$58.2M5.6%
- Corporations and businesses$8.2M0.8%
- Individual clients
- 671reported
- HNW clients
- 58reported
- Pension plan clients
- 28reported
- Charitable clients
- n/areported
- Accounts
- 950reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
- B•••••• P•••••• W••••• to C••• I••••••••• A••••••• S•••••••• L••Apr 1, 2019 · Other
- M•••••• B•••••• G•••••• to C••• I••••••••• A••••••• S•••••••• L••Apr 1, 2019 · Other
- C••••••••• J••• T•••••••• to C••• I••••••••• A••••••• S•••••••• L••Apr 1, 2019 · Other
- R•••••• C•••••••• R••••• to C••• I••••••••• A••••••• S•••••••• L••Apr 1, 2019 · Other
- R••••• M••••••• F•••• to A••••••• F•••••••• M••••••••• G••••• L•••Feb 28, 2013 · Other
Joined, latest
- R•••••• C•••••••• R••••• from C•••••• C••••••••• A•••••••• L•••Jan 21, 2016 · Other
- B•••••• P•••••• W••••• from G••••• R••••••••• P••••••• L••Nov 9, 2015 · Other
- R••••• M••••••• F•••• from H•• I••••••••• A•••••••• L••Sep 24, 2008 · Other
- C••••••••• J••• T•••••••• from 1••• C•••••• M••••••••• C••••••Oct 24, 2005 · Other
- M•••••• B•••••• G•••••• from 1••• C•••••• M••••••••• C••••••Oct 21, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for C••• I••••••••• A••••••• S•••••••• L••Apr 1, 2019 · Media, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• T•••••• E••••• · Membercontrolsince 08/2005 · owns 25% to 50%
- G••••••• M••••••• B•••••• · Member; Chief Compliance Officercontrolsince 08/2005 · owns 25% to 50%
- H•••• J••••••• M•••••• · Membercontrolsince 04/2007 · owns 25% to 50%
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
- Accounts · 922 to 950Dec 6, 2018 to Mar 7, 2019
- Advisory activities · 4 to 3Dec 6, 2018 to Mar 7, 2019
- HNW clients · 46 to 58Dec 6, 2018 to Mar 7, 2019
- Individual clients · 679 to 671Dec 6, 2018 to Mar 7, 2019
- Pension plan clients · 34 to 28Dec 6, 2018 to Mar 7, 2019
- Financial planning clients · 0 to unsetDec 6, 2018 to Mar 7, 2019
- Discretionary RAUM · $1.1B to $1.0BDec 6, 2018 to Mar 7, 2019
- HNW RAUM · $54.5M to $66.2MDec 6, 2018 to Mar 7, 2019
- Individual RAUM · $62.6M to $58.2MDec 6, 2018 to Mar 7, 2019
- Pension RAUM · $786M to $120MDec 6, 2018 to Mar 7, 2019
- RAUM · $1.1B to $1.0BDec 6, 2018 to Mar 7, 2019
- Accounts · 889 to 922Feb 1, 2017 to Mar 1, 2018
- Corporate clients · unset to 11.0Feb 1, 2017 to Mar 1, 2018
- HNW clients · unset to 46.0Feb 1, 2017 to Mar 1, 2018
- Individual clients · unset to 679.0Feb 1, 2017 to Mar 1, 2018
- Pension plan clients · unset to 34.0Feb 1, 2017 to Mar 1, 2018
- Financial planning clients · 1-10 to 0Feb 1, 2017 to Mar 1, 2018
- Other offices · unset to 0.0Feb 1, 2017 to Mar 1, 2018
- Discretionary RAUM · $876M to $1.1BFeb 1, 2017 to Mar 1, 2018
- HNW RAUM · unset to 54464009.0Feb 1, 2017 to Mar 1, 2018
- Individual RAUM · unset to 62586419.0Feb 1, 2017 to Mar 1, 2018
- Pension RAUM · unset to 785519138.0Feb 1, 2017 to Mar 1, 2018
- RAUM · $876M to $1.1BFeb 1, 2017 to Mar 1, 2018
- Wrap assets (manager) · unset to 0.0Feb 1, 2017 to Mar 1, 2018
- Wrap assets (sponsor) · unset to 0.0Feb 1, 2017 to Mar 1, 2018
- Accounts · 851 to 889Dec 16, 2016 to Feb 1, 2017
- BD registered reps · 6 to 0Dec 16, 2016 to Feb 1, 2017
- Assets in custody · 28700789.0 to unsetDec 16, 2016 to Feb 1, 2017
- Custody of client assets · true to falseDec 16, 2016 to Feb 1, 2017
- State-registered IARs · 4 to 5Dec 16, 2016 to Feb 1, 2017
- Discretionary RAUM · $729M to $876MDec 16, 2016 to Feb 1, 2017
- RAUM · $729M to $876MDec 16, 2016 to Feb 1, 2017
- Accounts · 669 to 851Mar 31, 2015 to Mar 28, 2016
- BD registered reps · 7 to 6Mar 31, 2015 to Mar 28, 2016
- Assets in custody · $34.2M to $28.7MMar 31, 2015 to Mar 28, 2016
- State-registered IARs · 5 to 4Mar 31, 2015 to Mar 28, 2016
- Discretionary RAUM · $765M to $729MMar 31, 2015 to Mar 28, 2016
- RAUM · $765M to $729MMar 31, 2015 to Mar 28, 2016
- Accounts · 663 to 669Aug 13, 2014 to Mar 31, 2015
- Advisory employees · 6 to 5Aug 13, 2014 to Mar 31, 2015
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