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•• G•••••• A••••••• L••
Latest filing May 9, 2013
First filing on the tape Jan 31, 2012 · 6 filings
RAUM
$478M
reported, Item 5.F
Discretionary
93%
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
6
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$478M as of Apr 1, 2013
Mar 29, 2012$417M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Apr 1, 2013
Mar 29, 20120 then
Employees (5.A): 6
Private funds: no history
RAUM +15% over the last fiscal yearIARs 0 to 6
Practice profile
derived from the filing of May 9, 2013; every figure names its basis
- RAUM per advisor
- $79.7MderivedRAUM 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
- $239MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%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
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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)
- 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
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
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- R•••••• A•••• B•••••• to Z•••••• C•••••• M••••••••• L••Nov 14, 2013 · Other
- J••• D••••• V••••• to Z•••••• C•••••• M••••••••• L••Apr 8, 2013 · Other
- D•••• J•••• D••••••••• to Z•••••• C•••••• M••••••••• L••Apr 8, 2013 · Other
- Z•••••• S••••• N••••••• to Z•••••• C•••••• M••••••••• L••Apr 8, 2013 · Other
- J•••• L• B••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 29, 2012 · Other
Joined, latest
- D•••• J•••• D••••••••• from R••••• W• B•••• • C•• I•••••••••Jun 5, 2006 · Other
- R•••••• A•••• B•••••• from R••••• W• B•••• • C•• I•••••••••Jun 5, 2006 · Other
- J••• D••••• V••••• from R••••• W• B•••• • C•• I•••••••••May 3, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• M••••••• S•••••• · Managing Director, Chief Compliance Officer, And General Counselcontrolsince 02/2006 · owns less than 5%
- R••••••• S••••• A•••• · President And Chief Executive Officercontrolsince 01/2012 · owns less than 5%
- V•••••• J•••• D••••• · Managing Director, Chief Investment Officercontrolsince 04/2006 · owns less than 5%
Entity owners
- Z•••••• L•••••• C•••••• M••••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Z•••••• C•••••• M••••••••• L••investment adviserbankyRAUM $11B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 588 to 2Mar 29, 2012 to Apr 1, 2013
- Advisory employees · unset to 6.0Mar 29, 2012 to Apr 1, 2013
- Advisory activities · 2 to 1Mar 29, 2012 to Apr 1, 2013
- Employees · unset to 6.0Mar 29, 2012 to Apr 1, 2013
- State-registered IARs · 0 to 6Mar 29, 2012 to Apr 1, 2013
- Discretionary RAUM · $414M to $443MMar 29, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $2.9M to $35.0MMar 29, 2012 to Apr 1, 2013
- RAUM · $417M to $478MMar 29, 2012 to Apr 1, 2013
- Discretionary RAUM · $341M to $414MFeb 2, 2012 to Mar 29, 2012
- Non-discretionary RAUM · $2.0M to $2.9MFeb 2, 2012 to Mar 29, 2012
- RAUM · $343M to $417MFeb 2, 2012 to Mar 29, 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