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
E•••• F•••••••• A•••••••• I•••
Latest filing Mar 29, 2016
First filing on the tape Mar 2, 2012 · 7 filings
RAUM
$328M
reported, Item 5.F
Discretionary
94%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$328M as of Mar 29, 2016
Mar 2, 2012$302M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 29, 2016
Mar 2, 20120 then
Employees (5.A)2 as of Mar 29, 2016
Mar 21, 20133 then
Private funds: no history
RAUM -40% over the last fiscal year-8.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
- RAUM per advisor
- $164MderivedRAUM 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
- $16.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -40%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- 20reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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•••••• L•••• L••••• to W••••••••• R••••••••• A•••••••Jul 1, 2016 · Other
- T••••• B•••• B••••• to W••••••••• R••••••••• A•••••••Jul 1, 2016 · Other
Joined, latest
- B•••••• L•••• L••••• from O••••••••• G••••• L••Feb 25, 2011 · Other
- T••••• B•••• B••••• from L•• F•••••••• L••Dec 2, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••••••• R••••••••• A•••••••Jul 1, 2016 · Weston, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• T•••••• B•••• · Chief Compliance Officercontrolsince 09/2005 · owns 50% to 75%
- L•••••• B••••••• L•••• · Executive Vice Presidentcontrolsince 06/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Stuart, FL
What changed
consecutive filings, newest first
- Accounts · 37 to 20Jul 14, 2015 to Mar 29, 2016
- Discretionary RAUM · $541M to $308MJul 14, 2015 to Mar 29, 2016
- Non-discretionary RAUM · $49.0M to $19.3MJul 14, 2015 to Mar 29, 2016
- RAUM · $590M to $328MJul 14, 2015 to Mar 29, 2016
- Discretionary RAUM · $502M to $541MMar 2, 2015 to Apr 17, 2015
- Non-discretionary RAUM · $44.1M to $49.0MMar 2, 2015 to Apr 17, 2015
- RAUM · $546M to $590MMar 2, 2015 to Apr 17, 2015
- Advisory employees · 3 to 2Feb 7, 2014 to Mar 2, 2015
- Employees · 3 to 2Feb 7, 2014 to Mar 2, 2015
- Financial planning clients · 0 to unsetFeb 7, 2014 to Mar 2, 2015
- State-registered IARs · 0 to 2Feb 7, 2014 to Mar 2, 2015
- Discretionary RAUM · $502M to $502MFeb 7, 2014 to Mar 2, 2015
- Non-discretionary RAUM · $42.3M to $44.1MFeb 7, 2014 to Mar 2, 2015
- RAUM · $544M to $546MFeb 7, 2014 to Mar 2, 2015
- Accounts · 38 to 37Mar 21, 2013 to Feb 7, 2014
- Discretionary RAUM · $369M to $502MMar 21, 2013 to Feb 7, 2014
- Non-discretionary RAUM · $55.1M to $42.3MMar 21, 2013 to Feb 7, 2014
- RAUM · $425M to $544MMar 21, 2013 to Feb 7, 2014
- Accounts · 33 to 38Mar 2, 2012 to Mar 21, 2013
- Advisory employees · unset to 3.0Mar 2, 2012 to Mar 21, 2013
- Employees · unset to 3.0Mar 2, 2012 to Mar 21, 2013
- Discretionary RAUM · $257M to $369MMar 2, 2012 to Mar 21, 2013
- Non-discretionary RAUM · $45.6M to $55.1MMar 2, 2012 to Mar 21, 2013
- RAUM · $302M to $425MMar 2, 2012 to Mar 21, 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