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

B••• S••••• G••••• A•••••••• L••

Former SEC-registered adviserCRD 143047SEC 801-67533IAPD
Latest filing Mar 24, 2015
First filing on the tape Feb 28, 2012 · 4 filings
RAUM
$212M
reported, Item 5.F
Discretionary
6.1%
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$212M as of Mar 24, 2015
Feb 28, 2012$235M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 24, 2015
Feb 28, 20120 then
Employees (5.A)4 as of Mar 24, 2015
Mar 15, 20134 then
Private funds: no history
RAUM -3.2% over the last fiscal year-3.4% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 24, 2015; every figure names its basis
RAUM per advisor
$52.9MderivedRAUM 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
$5.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
6.1%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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.2%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 assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
40reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••••• N••••• · Membercontrol
    since 01/2004 · owns 50% to 75%
  • B•••••••• R••••• · Chairman, Managing Member & Chief Compliance Officercontrol
    since 01/2004 · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 43 to 40
    Mar 26, 2014 to Mar 24, 2015
  • Discretionary RAUM · $13.5M to $12.9M
    Mar 26, 2014 to Mar 24, 2015
  • Non-discretionary RAUM · $205M to $199M
    Mar 26, 2014 to Mar 24, 2015
  • RAUM · $219M to $212M
    Mar 26, 2014 to Mar 24, 2015
  • Accounts · 46 to 43
    Mar 15, 2013 to Mar 26, 2014
  • Discretionary RAUM · $20.4M to $13.5M
    Mar 15, 2013 to Mar 26, 2014
  • Non-discretionary RAUM · $195M to $205M
    Mar 15, 2013 to Mar 26, 2014
  • RAUM · $216M to $219M
    Mar 15, 2013 to Mar 26, 2014
  • Accounts · 49 to 46
    Feb 28, 2012 to Mar 15, 2013
  • Advisory employees · unset to 4.0
    Feb 28, 2012 to Mar 15, 2013
  • BD registered reps · unset to 4.0
    Feb 28, 2012 to Mar 15, 2013
  • Employees · unset to 4.0
    Feb 28, 2012 to Mar 15, 2013
  • State-registered IARs · 0 to 4
    Feb 28, 2012 to Mar 15, 2013
  • Discretionary RAUM · $28.4M to $20.4M
    Feb 28, 2012 to Mar 15, 2013
  • Non-discretionary RAUM · $206M to $195M
    Feb 28, 2012 to Mar 15, 2013
  • RAUM · $235M to $216M
    Feb 28, 2012 to Mar 15, 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