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

R•••• C•••••• M••••••••• L••

Former SEC-registered adviserBoca Raton, FloridaCRD 139910SEC 801-66805IAPD
Latest filing Mar 18, 2022
First filing on the tape Mar 20, 2012 · 15 filings
RAUM
$187M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
55%
$103M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$187M as of Mar 18, 2022
Mar 20, 2012$126M then
HNW client RAUM$78.6M as of Mar 18, 2022
Mar 21, 2018$86.5M then
State-registered IARs (5.B.3)2 as of Mar 18, 2022
Mar 20, 20120 then
Employees (5.A)3 as of Mar 18, 2022
Mar 21, 20131 then
Private funds: no history
RAUM +21% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2022; every figure names its basis
RAUM per advisor
$93.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
70derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$768,208derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
9.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.5%derived
Compensation
percentage of assets, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$78.6M42%
  • Corporations and businesses$66.3M36%
  • Individuals$24.6M13%
  • Pension and profit-sharing plans$16.1M8.6%
  • Charitable organizations$1.1M0.6%
Individual clients
118reported
HNW clients
21reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
243reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
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
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
    • D•••••• R••••••• D••••• · Sole Proprietorcontrol
      since 09/1997 · 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
    • Accounts · 140 to 243
      Mar 23, 2021 to Mar 18, 2022
    • Corporate clients · unset to 5.0
      Mar 23, 2021 to Mar 18, 2022
    • HNW clients · 18 to 21
      Mar 23, 2021 to Mar 18, 2022
    • Individual clients · 115 to 118
      Mar 23, 2021 to Mar 18, 2022
    • Discretionary RAUM · $144M to $173M
      Mar 23, 2021 to Mar 18, 2022
    • HNW RAUM · $66.4M to $78.6M
      Mar 23, 2021 to Mar 18, 2022
    • Individual RAUM · $24.0M to $24.6M
      Mar 23, 2021 to Mar 18, 2022
    • Non-discretionary RAUM · $10.9M to $13.8M
      Mar 23, 2021 to Mar 18, 2022
    • Pension RAUM · $12.8M to $16.1M
      Mar 23, 2021 to Mar 18, 2022
    • RAUM · $154M to $187M
      Mar 23, 2021 to Mar 18, 2022
    • Accounts · 207 to 140
      Jun 25, 2020 to Mar 23, 2021
    • HNW clients · 19 to 18
      Jun 25, 2020 to Mar 23, 2021
    • Individual clients · 105 to 115
      Jun 25, 2020 to Mar 23, 2021
    • Discretionary RAUM · $138M to $144M
      Jun 25, 2020 to Mar 23, 2021
    • HNW RAUM · $60.5M to $66.4M
      Jun 25, 2020 to Mar 23, 2021
    • Individual RAUM · $22.8M to $24.0M
      Jun 25, 2020 to Mar 23, 2021
    • Non-discretionary RAUM · $9.6M to $10.9M
      Jun 25, 2020 to Mar 23, 2021
    • Pension RAUM · $11.3M to $12.8M
      Jun 25, 2020 to Mar 23, 2021
    • RAUM · $148M to $154M
      Jun 25, 2020 to Mar 23, 2021
    • Accounts · 218 to 207
      Mar 28, 2019 to Mar 12, 2020
    • Advisory activities · 1 to 2
      Mar 28, 2019 to Mar 12, 2020
    • HNW clients · 18 to 19
      Mar 28, 2019 to Mar 12, 2020
    • Individual clients · 98 to 105
      Mar 28, 2019 to Mar 12, 2020
    • Financial planning clients · unset to 1-10
      Mar 28, 2019 to Mar 12, 2020
    • Discretionary RAUM · $118M to $138M
      Mar 28, 2019 to Mar 12, 2020
    • HNW RAUM · $51.1M to $60.5M
      Mar 28, 2019 to Mar 12, 2020
    • Individual RAUM · $18.6M to $22.8M
      Mar 28, 2019 to Mar 12, 2020
    • Non-discretionary RAUM · $7.2M to $9.6M
      Mar 28, 2019 to Mar 12, 2020
    • Pension RAUM · $8.6M to $11.3M
      Mar 28, 2019 to Mar 12, 2020
    • RAUM · $126M to $148M
      Mar 28, 2019 to Mar 12, 2020
    • Accounts · 206 to 218
      Mar 21, 2018 to Mar 28, 2019
    • Advisory employees · 2 to 3
      Mar 21, 2018 to Mar 28, 2019
    • Charity clients · 1.0 to unset
      Mar 21, 2018 to Mar 28, 2019
    • Corporate clients · 2.0 to unset
      Mar 21, 2018 to Mar 28, 2019
    • HNW clients · 17 to 18
      Mar 21, 2018 to Mar 28, 2019
    • Individual clients · 102 to 98
      Mar 21, 2018 to Mar 28, 2019
    • Pension plan clients · 3.0 to unset
      Mar 21, 2018 to Mar 28, 2019
    • Employees · 2 to 3
      Mar 21, 2018 to Mar 28, 2019
    • Discretionary RAUM · $121M to $118M
      Mar 21, 2018 to Mar 28, 2019
    • HNW RAUM · $86.5M to $51.1M
      Mar 21, 2018 to Mar 28, 2019
    Signals
    2 dated events
    • J•••••• K•• F••••••• left R•••• C•••••• M••••••••• L•• for E•••• F•••••••• G•••• (registered 2023-01-03)
      Feb 13, 2023 · Advisor changed firm · fact
    • R•••• C•••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jan 30, 2013 · Succession (Item 4) · fact
    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