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

H•••• C•••••• M••••••••• L••

Former SEC-registered adviserBoca Raton, FloridaCRD 141087SEC 801-66946IAPD
Latest filing Mar 27, 2019
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$33.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$33.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$33.9M as of Mar 27, 2019
Mar 30, 2012$728M then
HNW client RAUM$33.8M as of Mar 27, 2019
Mar 30, 2018$32.6M then
State-registered IARs (5.B.3)0 as of Mar 27, 2019
Mar 20, 20130 then
Employees (5.A)5 as of Mar 27, 2019
Mar 20, 20139 then
Private funds: no history
RAUM +3.3% over the last fiscal year-29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.2MderivedHNW RAUM over HNW clients
Average account
$2.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.3%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$33.8M100%
  • Individuals$110,8830.3%
Individual clients
5reported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
none on the tape
    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
      • H••••• J•••••• W•••••• · Chief Compliance Officercontrol
        since 03/2013 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $32.8M to $33.9M
        Mar 30, 2018 to Mar 27, 2019
      • HNW RAUM · $32.6M to $33.8M
        Mar 30, 2018 to Mar 27, 2019
      • Individual RAUM · $223,979 to $110,883
        Mar 30, 2018 to Mar 27, 2019
      • RAUM · $32.8M to $33.9M
        Mar 30, 2018 to Mar 27, 2019
      • Accounts · 12 to 13
        Mar 27, 2017 to Mar 30, 2018
      • HNW clients · unset to 8.0
        Mar 27, 2017 to Mar 30, 2018
      • Individual clients · unset to 5.0
        Mar 27, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 27, 2017 to Mar 30, 2018
      • Discretionary RAUM · $26.6M to $32.8M
        Mar 27, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 32614510.0
        Mar 27, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 223979.0
        Mar 27, 2017 to Mar 30, 2018
      • RAUM · $26.6M to $32.8M
        Mar 27, 2017 to Mar 30, 2018
      • Accounts · 2 to 12
        Mar 24, 2016 to Mar 27, 2017
      • Discretionary RAUM · $95.4M to $26.6M
        Mar 24, 2016 to Mar 27, 2017
      • RAUM · $95.4M to $26.6M
        Mar 24, 2016 to Mar 27, 2017
      • Discretionary RAUM · $293M to $95.4M
        Mar 25, 2015 to Mar 24, 2016
      • RAUM · $293M to $95.4M
        Mar 25, 2015 to Mar 24, 2016
      • Accounts · 3 to 2
        Mar 24, 2014 to Mar 25, 2015
      • Discretionary RAUM · $399M to $293M
        Mar 24, 2014 to Mar 25, 2015
      • RAUM · $399M to $293M
        Mar 24, 2014 to Mar 25, 2015
      • Advisory employees · 6 to 3
        Mar 20, 2013 to Mar 24, 2014
      • BD registered reps · 3 to 1
        Mar 20, 2013 to Mar 24, 2014
      • Employees · 9 to 5
        Mar 20, 2013 to Mar 24, 2014
      • Discretionary RAUM · $565M to $399M
        Mar 20, 2013 to Mar 24, 2014
      • RAUM · $565M to $399M
        Mar 20, 2013 to Mar 24, 2014
      • Accounts · 4 to 3
        Apr 2, 2012 to Mar 20, 2013
      • Advisory employees · unset to 6.0
        Apr 2, 2012 to Mar 20, 2013
      • BD registered reps · 0 to 3
        Apr 2, 2012 to Mar 20, 2013
      • Employees · unset to 9.0
        Apr 2, 2012 to Mar 20, 2013
      • State-registered IARs · unset to 0.0
        Apr 2, 2012 to Mar 20, 2013
      • Discretionary RAUM · $728M to $565M
        Apr 2, 2012 to Mar 20, 2013
      • RAUM · $728M to $565M
        Apr 2, 2012 to Mar 20, 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