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
A•••• A•••• A•••••••
Legal name A•••• I••••••••• A•••••••• L••
Latest filing Oct 23, 2013
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$183M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$281M as of Mar 8, 2013
Mar 29, 2012$239M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 11
Employees (5.A): 11
Private funds: no history
RAUM -24% over the last fiscal year
Practice profile
derived from the filing of Oct 23, 2013; every figure names its basis
- RAUM per advisor
- $60.8MderivedRAUM 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
- $101,406derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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 assets, hourlyreportedItem 5.E
- Advisory activities
- 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
- 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)
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
- 1,800reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- K•••• D•• P••••• to S•• I••••••••• A•••••••• I•••Oct 18, 2013 · Other
- M•••••• G•••• S•••••• to S••Aug 30, 2013 · Other
- E••• P••• Z•••••• to B• R•••• W••••• M•••••••••Aug 30, 2013 · Other
- M••• A•••• G•••••••• to S•• I••••••••• A•••••••• I•••Aug 20, 2013 · Other
- G••• A••••• M••••• to B• R•••• W••••• M•••••••••Aug 14, 2013 · Other
- G••• C•••••• H•••• to F•• S••••••••• C•••••••••Aug 7, 2013 · Other
- K•••• G••• C•••••• to B• R•••• W••••• M•••••••••May 28, 2013 · Other
Joined, latest
- K•••• D•• P••••• from W•••••• • R•••Mar 28, 2013 · Other
- G••• A••••• M••••• from W•• A•••••••• L•Mar 14, 2013 · Other
- M••• A•••• G•••••••• from W•• A•••••••• L•Jan 26, 2011 · Other
- G••• C•••••• H•••• from N••• F•••••••• G••••• I•••Sep 18, 2009 · Other
- K•••• G••• C•••••• from W•••• F•••• A•••••••May 11, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• W••••••• L•• · President And Chief Compliance Officercontrolsince 03/2013 · 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 · 1,882 to 1,800Apr 2, 2013 to Oct 23, 2013
- Advisory employees · 11 to 3Apr 2, 2013 to Oct 23, 2013
- Advisory activities · 2 to 1Apr 2, 2013 to Oct 23, 2013
- BD registered reps · 11 to 0Apr 2, 2013 to Oct 23, 2013
- Employees · 11 to 3Apr 2, 2013 to Oct 23, 2013
- Financial planning clients · 26-50 to unsetApr 2, 2013 to Oct 23, 2013
- State-registered IARs · 11 to 3Apr 2, 2013 to Oct 23, 2013
- Discretionary RAUM · $253M to $183MApr 2, 2013 to Oct 23, 2013
- Non-discretionary RAUM · $28.1M to $0Apr 2, 2013 to Oct 23, 2013
- RAUM · $281M to $183MApr 2, 2013 to Oct 23, 2013
- Accounts · 1,765 to 1,882Mar 29, 2012 to Mar 8, 2013
- Advisory employees · unset to 11.0Mar 29, 2012 to Mar 8, 2013
- BD registered reps · unset to 11.0Mar 29, 2012 to Mar 8, 2013
- Employees · unset to 11.0Mar 29, 2012 to Mar 8, 2013
- State-registered IARs · unset to 11.0Mar 29, 2012 to Mar 8, 2013
- Discretionary RAUM · $189M to $253MMar 29, 2012 to Mar 8, 2013
- Non-discretionary RAUM · $50.0M to $28.1MMar 29, 2012 to Mar 8, 2013
- RAUM · $239M to $281MMar 29, 2012 to Mar 8, 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