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•••••••• I••••••••• A•••••••• I•••
Latest filing Mar 28, 2018
First filing on the tape Mar 28, 2012 · 7 filings
RAUM
$330M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
71%
$234M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$36.8M gross assets
History
7 filings and snapshots on the tape
RAUM$330M as of Mar 28, 2018
Mar 28, 2012$300M then
HNW client RAUM: $224M
State-registered IARs (5.B.3)2 as of Mar 28, 2018
Mar 28, 20120 then
Employees (5.A)4 as of Mar 28, 2018
Mar 28, 20136 then
Private funds1 as of Mar 28, 2018
Mar 28, 20121 then
RAUM +18% over the last fiscal year+2.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 28, 2018; every figure names its basis
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $900,029derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 9.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $36.8M, 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$224M68%
- Pooled investment vehicles$36.8M11%
- Charitable organizations$32.1M9.7%
- Corporations and businesses$25.4M7.7%
- Individuals$10.2M3.1%
- Other investment advisers$2.3M0.7%
- Individual clients
- 17reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 367reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.8M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
- M••• S•••••• to U••••• C•••••• F•••••••• A•••••••Mar 30, 2019 · RIA to RIA
- W••••• A•••• F••••• to U••••• C•••••• F•••••••• A•••••••Mar 30, 2019 · RIA to RIA
- C••• A••• H•••• to J••• M••••• S••••••••• L••Apr 27, 2011 · Other
Joined, latest
- M••• S•••••• from P••••••• A•••• M••••••••• L••Jan 25, 2012 · Other
- C••• A••• H•••• from H••••• • C••• L••Aug 20, 2010 · Other
- W••••• A•••• F••••• from W••••••••• T•••• I••••••••• M•••••••••Jan 22, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for U••••• C•••••• F•••••••• A•••••••Mar 30, 2019 · Atlanta, Ga
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•• G••••• O••••••••• P•••••••• L• | Other Private Fund | $36.8M | 35 | Mar 28, 2012 |
| F•• R••• R••••• P•••••••• L•no longer reported | Other Private Fund | $10.3M | 14 | Mar 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• W•••••• A•••• · Partnercontrolsince 04/2006 · owns 25% to 50%
- S••••••• M•••• A••• · Partnercontrolsince 01/2012 · owns 10% to 25%
- W•••• M••••••• E••••• · Chief Compliance Officer, Partnercontrolsince 04/2006 · owns 25% to 50%
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 · 362 to 367Mar 28, 2017 to Mar 28, 2018
- HNW clients · unset to 73.0Mar 28, 2017 to Mar 28, 2018
- Individual clients · unset to 17.0Mar 28, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 1.0Mar 28, 2017 to Mar 28, 2018
- Assets in custody · $35.3M to $36.8MMar 28, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Mar 28, 2017 to Mar 28, 2018
- Discretionary RAUM · $262M to $317MMar 28, 2017 to Mar 28, 2018
- HNW RAUM · unset to 223550073.0Mar 28, 2017 to Mar 28, 2018
- Individual RAUM · unset to 10192860.0Mar 28, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $18.5M to $13.2MMar 28, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 36764190.0Mar 28, 2017 to Mar 28, 2018
- RAUM · $281M to $330MMar 28, 2017 to Mar 28, 2018
- Accounts · 352 to 362Mar 28, 2016 to Mar 28, 2017
- Advisory activities · 5 to 6Mar 28, 2016 to Mar 28, 2017
- Assets in custody · $36.8M to $35.3MMar 28, 2016 to Mar 28, 2017
- Financial planning clients · unset to 51-100Mar 28, 2016 to Mar 28, 2017
- Discretionary RAUM · $260M to $262MMar 28, 2016 to Mar 28, 2017
- Non-discretionary RAUM · $0 to $18.5MMar 28, 2016 to Mar 28, 2017
- RAUM · $260M to $281MMar 28, 2016 to Mar 28, 2017
- Employees · 5 to 4Mar 30, 2015 to Mar 28, 2016
- Accounts · 332 to 352Mar 30, 2015 to Mar 28, 2016
- Business name · F••••• W••• • F•••• I••• to P•••••••• I••••••••• A•••••••• I•••Mar 30, 2015 to Mar 28, 2016
- Assets in custody · $68.7M to $36.8MMar 30, 2015 to Mar 28, 2016
- Legal name · F••••• W••• • F•••• I••• to P•••••••• I••••••••• A•••••••• I•••Mar 30, 2015 to Mar 28, 2016
- Private funds · 2 to 1Mar 30, 2015 to Mar 28, 2016
- Discretionary RAUM · $304M to $260MMar 30, 2015 to Mar 28, 2016
- RAUM · $304M to $260MMar 30, 2015 to Mar 28, 2016
- Accounts · 104 to 332Mar 28, 2014 to Mar 30, 2015
- Assets in custody · $91.1M to $68.7MMar 28, 2014 to Mar 30, 2015
- Employees · 6 to 5Mar 28, 2014 to Mar 30, 2015
- State-registered IARs · 3 to 2Mar 28, 2014 to Mar 30, 2015
- Discretionary RAUM · $392M to $304MMar 28, 2014 to Mar 30, 2015
- RAUM · $392M to $304MMar 28, 2014 to Mar 30, 2015
- Accounts · 101 to 104Mar 28, 2013 to Mar 28, 2014
- Assets in custody · $78.8M to $91.1MMar 28, 2013 to Mar 28, 2014
- Private funds · 1 to 2Mar 28, 2013 to Mar 28, 2014
- Discretionary RAUM · $347M to $392MMar 28, 2013 to Mar 28, 2014
- RAUM · $347M to $392MMar 28, 2013 to Mar 28, 2014
- Accounts · 96 to 101Mar 28, 2012 to Mar 28, 2013
- Advisory employees · unset to 4.0Mar 28, 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