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
P••••••••
Legal name P•••••••• R••••••••• A•••••••• I•••
Latest filing Jan 27, 2017
First filing on the tape Mar 22, 2012 · 12 filings
RAUM
$112M
reported, Item 5.F
Discretionary
15%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$112M as of Jan 27, 2017
Mar 22, 2012$538M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 27, 2017
Mar 28, 20132 then
Employees (5.A)1 as of Jan 27, 2017
Mar 28, 20132 then
Private funds: no history
RAUM -89% over the last fiscal year-49% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 27, 2017; every figure names its basis
- RAUM per advisor
- $112MderivedRAUM 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
- $14.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 15%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -89%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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- 8reported
- 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
- E••••• W•••••• S•••••• to C••••••• Q•••••••• R••••••••• P••• A•••••••• L••Jul 14, 2014 · Other
- W•••••• R•••• B••••• to M••••••••• I••••••••• A•• R••••••••• A•••••••• L••Nov 29, 2010 · Other
- R•••• G••• C••••• to M••••••••• I••••••••• A•• R••••••••• A•••••••• L••Oct 20, 2009 · Other
- M•••••• Q•••••••• to P•••••• P••••••• S••••••••• I•••Oct 27, 2006 · Other
Joined, latest
- W•••••• R•••• B••••• from F•••••••• A•••••••• L••Apr 15, 2009 · Other
- M•••••• Q•••••••• from M•• I•••••••• S•••••••• L••Aug 28, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••••• J••••• · Chief Executive Officercontrolsince 02/2015 · owns less than 5%
- C•••••••• M••••••• S•••• · Chief Compliance Officercontrolsince 03/2015 · owns less than 5%
- C••••• A•••• N•••••• · Director Of Institutional Consulting; Vice Presidentcontrolsince 01/2015 · owns less than 5%
- C•••••• R•••••• J••••• · Membercontrolsince 04/1999 · owns 50% to 75% of H•••••• I••••••••• L••
Entity owners
- B•••• F•••••••• C••••••••• · Shareholderdirect · owns 75% or more
- H•••••• I••••••••• L•• · Owner Of B•••• Financial Corpindirect · owns 75% or more of B•••• Financial Corp
Related persons
Schedule D 7.A
- H•••••• I••••••••• L••investment adviseryRAUM $8.5B
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Accounts · 13 to 8Mar 16, 2016 to Jan 27, 2017
- Discretionary RAUM · $884M to $16.3MMar 16, 2016 to Jan 27, 2017
- Non-discretionary RAUM · $105M to $95.7MMar 16, 2016 to Jan 27, 2017
- RAUM · $990M to $112MMar 16, 2016 to Jan 27, 2017
- Accounts · 14 to 13Apr 28, 2015 to Mar 16, 2016
- Discretionary RAUM · $828M to $884MApr 28, 2015 to Mar 16, 2016
- Non-discretionary RAUM · $109M to $105MApr 28, 2015 to Mar 16, 2016
- RAUM · $937M to $990MApr 28, 2015 to Mar 16, 2016
- Advisory activities · 1 to 2Feb 27, 2015 to Mar 25, 2015
- Accounts · 23 to 14Mar 31, 2014 to Feb 27, 2015
- Advisory employees · 2 to 1Mar 31, 2014 to Feb 27, 2015
- Advisory activities · 2 to 1Mar 31, 2014 to Feb 27, 2015
- Employees · 3 to 1Mar 31, 2014 to Feb 27, 2015
- HQ city · unset to CHARLOTTEMar 31, 2014 to Feb 27, 2015
- HQ state · unset to NCMar 31, 2014 to Feb 27, 2015
- State-registered IARs · 2 to 1Mar 31, 2014 to Feb 27, 2015
- Discretionary RAUM · $750M to $828MMar 31, 2014 to Feb 27, 2015
- Non-discretionary RAUM · $105M to $109MMar 31, 2014 to Feb 27, 2015
- RAUM · $855M to $937MMar 31, 2014 to Feb 27, 2015
- Related adviser · false to trueMar 31, 2014 to Feb 27, 2015
- Accounts · 14 to 23Mar 28, 2013 to Mar 31, 2014
- Employees · 2 to 3Mar 28, 2013 to Mar 31, 2014
- Discretionary RAUM · $27.1M to $750MMar 28, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $609M to $105MMar 28, 2013 to Mar 31, 2014
- RAUM · $636M to $855MMar 28, 2013 to Mar 31, 2014
- Accounts · 13 to 14Oct 25, 2012 to Mar 28, 2013
- Advisory employees · unset to 2.0Oct 25, 2012 to Mar 28, 2013
- Employees · unset to 2.0Oct 25, 2012 to Mar 28, 2013
- State-registered IARs · unset to 2.0Oct 25, 2012 to Mar 28, 2013
- Discretionary RAUM · $16.6M to $27.1MOct 25, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $521M to $609MOct 25, 2012 to Mar 28, 2013
- RAUM · $538M to $636MOct 25, 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