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

S••••••• M••••• T•••• •••• K•••• L••••••

Former SEC-registered adviserH••• K•••, CRD 137109SEC 801-64984IAPD
Latest filing Oct 30, 2019
First filing on the tape Mar 29, 2012 · 18 filings
RAUM
$5.4B
reported, Item 5.F
Discretionary
100%
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
63
33 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$3.7B as of Mar 28, 2019
Mar 29, 2012$297M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 25, 20130 then
Employees (5.A)63 as of Mar 28, 2019
Mar 25, 201351 then
Private funds: no history
RAUM +468% over the last fiscal year+258% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 30, 2019; 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
$672MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+294%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$5.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Y••••••• N••••••• · Managing Directorcontrol
        since 10/2019 · owns less than 5%
      • F•••• J••• K•••••••• · Chief Compliance Officer
        since 12/2009 · owns less than 5%
      Entity owners
      • S••••••• M••••• T•••• B•••• L•••••• · Shareholder
        direct · 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
      • Discretionary RAUM · $3.7B to $5.4B
        Mar 28, 2019 to Oct 30, 2019
      • Pooled vehicle RAUM · $3.7B to $5.4B
        Mar 28, 2019 to Oct 30, 2019
      • RAUM · $3.7B to $5.4B
        Mar 28, 2019 to Oct 30, 2019
      • Accounts · 5 to 8
        Aug 1, 2018 to Mar 28, 2019
      • Advisory employees · 30 to 33
        Aug 1, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 5 to 8
        Aug 1, 2018 to Mar 28, 2019
      • Employees · 53 to 63
        Aug 1, 2018 to Mar 28, 2019
      • Discretionary RAUM · $947M to $3.7B
        Aug 1, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $947M to $3.7B
        Aug 1, 2018 to Mar 28, 2019
      • RAUM · $947M to $3.7B
        Aug 1, 2018 to Mar 28, 2019
      • Accounts · 4 to 5
        Mar 31, 2017 to Mar 26, 2018
      • Advisory employees · 25 to 30
        Mar 31, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 31, 2017 to Mar 26, 2018
      • Employees · 42 to 53
        Mar 31, 2017 to Mar 26, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 26, 2018
      • Discretionary RAUM · $205M to $947M
        Mar 31, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 946902999.0
        Mar 31, 2017 to Mar 26, 2018
      • RAUM · $205M to $947M
        Mar 31, 2017 to Mar 26, 2018
      • Employees · 38 to 42
        Jul 7, 2016 to Mar 31, 2017
      • Discretionary RAUM · $117M to $205M
        Jul 7, 2016 to Mar 31, 2017
      • RAUM · $117M to $205M
        Jul 7, 2016 to Mar 31, 2017
      • Advisory employees · 26 to 25
        Mar 25, 2015 to Mar 17, 2016
      • Employees · 40 to 38
        Mar 25, 2015 to Mar 17, 2016
      • Discretionary RAUM · $123M to $117M
        Mar 25, 2015 to Mar 17, 2016
      • RAUM · $123M to $117M
        Mar 25, 2015 to Mar 17, 2016
      • Accounts · 11 to 4
        Jun 10, 2014 to Mar 25, 2015
      • Advisory employees · 29 to 26
        Jun 10, 2014 to Mar 25, 2015
      • Employees · 44 to 40
        Jun 10, 2014 to Mar 25, 2015
      • Discretionary RAUM · $201M to $123M
        Jun 10, 2014 to Mar 25, 2015
      • RAUM · $201M to $123M
        Jun 10, 2014 to Mar 25, 2015
      • Advisory employees · 27 to 29
        Jul 3, 2013 to Mar 24, 2014
      • Discretionary RAUM · $220M to $201M
        Jul 3, 2013 to Mar 24, 2014
      • RAUM · $220M to $201M
        Jul 3, 2013 to Mar 24, 2014
      • Accounts · 12 to 11
        Jun 5, 2013 to Jul 3, 2013
      • Employees · 51 to 44
        Jun 5, 2013 to Jul 3, 2013
      • Discretionary RAUM · $247M to $220M
        Jun 5, 2013 to Jul 3, 2013
      • RAUM · $247M to $220M
        Jun 5, 2013 to Jul 3, 2013
      • Discretionary RAUM · $325M to $247M
        Apr 29, 2013 to Jun 5, 2013
      • RAUM · $325M to $247M
        Apr 29, 2013 to Jun 5, 2013
      • Accounts · 15 to 12
        Apr 2, 2012 to Mar 25, 2013
      Signals
      3 dated events
      • S••••••• M••••• T•••• •••• K•••• L•••••• reported RAUM $5.4B, up 44% from $3.7B (2019-03-28 to 2019-10-30)
        Oct 30, 2019 · RAUM change · derived
      • S••••••• M••••• T•••• •••• K•••• L•••••• reported RAUM $3.7B, up 294% from $946.9M (2018-08-01 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      • S••••••• M••••• T•••• •••• K•••• L•••••• reported RAUM $946.9M, up 362% from $205.0M (2017-03-31 to 2018-03-26)
        Mar 26, 2018 · RAUM change · derived
      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