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
N••••• C•••••• A•••••••
Legal name N••••• C•••••• A•••••••• I••
Latest filing Aug 27, 2012
First filing on the tape Apr 2, 2012 · 4 filings
RAUM
$63.7M
reported, Item 5.F
Discretionary
99%
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
n/a
n/a 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$63.7M as of Aug 27, 2012
Apr 2, 2012$82.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 27, 2012; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $272,298derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- controlled by a public reporting company (10.A)
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
- 234reported
- Financial planning clients
- n/areported
- 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
- P••• J• M•••••••• to A•••••••• C•••••• M••••••••• L••Feb 1, 2013 · Other
- J••• M•••• S•••••• to N••••• G••••• A•••••••Sep 13, 2011 · Other
Joined, latest
- P••• J• M•••••••• from C••••••••• I••••••••• L••Apr 29, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• D••••••• E•••••••• · Chief Compliance Officercontrolsince 12/2011 · owns less than 5%
- M••••••••• P•••• J• · Chief Investment Officercontrolsince 09/2011 · owns less than 5%
Entity owners
- T•• F•••••••• C••••••••• · Ownerdirect · owns 75% or more · public reporting company
- C•••••• B••• F•••••••• C•••• · Controlling Shareholderindirect · owns 75% or more of T•• F•••••••• C••••••••• · public reporting company
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
- Advisory activities · 3 to 2Jul 31, 2012 to Aug 27, 2012
- Accounts · 118 to 234Apr 2, 2012 to May 16, 2012
- Discretionary RAUM · $81.6M to $63.3MApr 2, 2012 to May 16, 2012
- Non-discretionary RAUM · $961,340 to $439,585Apr 2, 2012 to May 16, 2012
- RAUM · $82.6M to $63.7MApr 2, 2012 to May 16, 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