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

Y••• A•••••••• L••

Former SEC-registered adviserWashington, District of ColumbiaCRD 137886SEC 801-64875IAPD
Latest filing Mar 29, 2018
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$4.4M
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
13
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$4.4M gross assets
History
10 filings and snapshots on the tape
RAUM$4.4M as of Mar 29, 2018
Mar 30, 2012$4.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 29, 2018
Mar 27, 20137 then
Employees (5.A)13 as of Mar 29, 2018
Mar 27, 201310 then
Private funds1 as of Mar 29, 2018
Mar 30, 20121 then
RAUM +137% over the last fiscal year+17% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
RAUM per advisor
$631,752derivedRAUM 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
$4.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+137%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 pooled vehiclesreportedItem 5.G
Custody
$4.4M, 1 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
  • Pooled investment vehicles$4.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$4.4M for 1 clientsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    M••••••••• U••• M•••• F•••• L•Other Private Fund$4.4M28Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • N••••••••• C••••••••• M••••• · Membercontrol
      since 10/2005 · owns 25% to 50%
    • V•••••• M•••••• · Membercontrol
      since 10/2005 · owns 10% to 25%
    • B••••••• J•••• H•••••• · Member
      since 01/2007 · owns less than 5%
    • C••••••••• S•••• J• · Member
      since 10/2005 · owns 10% to 25%
    • C•••• C•••••• L•••• · Chief Compliance Officer
      since 06/2015 · owns less than 5%
    • H•••••••• E••••• J••••• · Member
      since 10/2005 · owns 10% to 25%
    • M•••••• C••••••• S•• · Member
      since 10/2005 · owns 10% to 25%
    • S••••• W••••••• G•••••• · Member
      since 10/2005 · owns 5% to 10%
    • V•••••• K•••••••• N•• · Director Of Operations
      since 07/2012 · owns less than 5%
    Related persons
    Schedule D 7.A
    Advisers that list Y••• A•••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Pooled vehicle clients · unset to 1.0
      Mar 31, 2017 to Mar 29, 2018
    • Assets in custody · $1.9M to $4.4M
      Mar 31, 2017 to Mar 29, 2018
    • Other offices · unset to 1.0
      Mar 31, 2017 to Mar 29, 2018
    • Discretionary RAUM · $1.9M to $4.4M
      Mar 31, 2017 to Mar 29, 2018
    • Pooled vehicle RAUM · unset to 4422262.0
      Mar 31, 2017 to Mar 29, 2018
    • RAUM · $1.9M to $4.4M
      Mar 31, 2017 to Mar 29, 2018
    • Assets in custody · $2.0M to $1.9M
      Mar 30, 2016 to Mar 31, 2017
    • Employees · 12 to 13
      Mar 30, 2016 to Mar 31, 2017
    • Insurance-licensed employees · 8 to 7
      Mar 30, 2016 to Mar 31, 2017
    • State-registered IARs · 8 to 7
      Mar 30, 2016 to Mar 31, 2017
    • Discretionary RAUM · $2.0M to $1.9M
      Mar 30, 2016 to Mar 31, 2017
    • RAUM · $2.0M to $1.9M
      Mar 30, 2016 to Mar 31, 2017
    • Assets in custody · $2.8M to $2.0M
      Mar 31, 2015 to Mar 30, 2016
    • Employees · 11 to 12
      Mar 31, 2015 to Mar 30, 2016
    • Insurance-licensed employees · 7 to 8
      Mar 31, 2015 to Mar 30, 2016
    • State-registered IARs · 7 to 8
      Mar 31, 2015 to Mar 30, 2016
    • Discretionary RAUM · $2.8M to $2.0M
      Mar 31, 2015 to Mar 30, 2016
    • RAUM · $2.8M to $2.0M
      Mar 31, 2015 to Mar 30, 2016
    • Assets in custody · $2.3M to $2.8M
      Oct 13, 2014 to Mar 31, 2015
    • Employees · 8 to 11
      Oct 13, 2014 to Mar 31, 2015
    • Discretionary RAUM · $2.3M to $2.8M
      Oct 13, 2014 to Mar 31, 2015
    • RAUM · $2.3M to $2.8M
      Oct 13, 2014 to Mar 31, 2015
    • Advisory employees · 4 to 8
      Mar 27, 2013 to Mar 31, 2014
    • Assets in custody · $3.8M to $2.3M
      Mar 27, 2013 to Mar 31, 2014
    • Employees · 10 to 8
      Mar 27, 2013 to Mar 31, 2014
    • Discretionary RAUM · $3.8M to $2.3M
      Mar 27, 2013 to Mar 31, 2014
    • RAUM · $3.8M to $2.3M
      Mar 27, 2013 to Mar 31, 2014
    • Advisory employees · 2 to 4
      Dec 19, 2012 to Mar 27, 2013
    • Assets in custody · $4.3M to $3.8M
      Dec 19, 2012 to Mar 27, 2013
    • Insurance-licensed employees · 6 to 7
      Dec 19, 2012 to Mar 27, 2013
    • State-registered IARs · 6 to 7
      Dec 19, 2012 to Mar 27, 2013
    • Discretionary RAUM · $4.3M to $3.8M
      Dec 19, 2012 to Mar 27, 2013
    • RAUM · $4.3M to $3.8M
      Dec 19, 2012 to Mar 27, 2013
    • Advisory employees · unset to 2.0
      Mar 30, 2012 to Dec 19, 2012
    • Employees · unset to 10.0
      Mar 30, 2012 to Dec 19, 2012
    • State-registered IARs · unset to 6.0
      Mar 30, 2012 to Dec 19, 2012
    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