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.

Former SEC-registered adviser

Convergent Wealth Advisors, LLC

Former SEC-registered adviserBeverly Hills, CaliforniaCRD 143719SEC 801-67788IAPD
Latest filing Jan 29, 2018
First filing on the tape Mar 30, 2012 · 21 filings
RAUM
$19.5M
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
1
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$19.5M gross assets
History
21 filings and snapshots on the tape
RAUM$19.5M as of Jan 29, 2018
Mar 30, 2012$6.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2018
Apr 1, 201351 then
Employees (5.A)1 as of Jan 29, 2018
Apr 1, 201367 then
Private funds3 as of Jan 29, 2018
Mar 30, 20126 then
RAUM -85% over the last fiscal year-87% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 29, 2018; 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
$6.5MderivedRAUM 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
-85%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.6M, 1 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$19.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$1.6M for 1 clientsreported
Compensation
n/areported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
5 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
US Focused Pool Series, Of Windermere Jupiter Fund, LLCno longer reportedHedge Fund$376M109Mar 30, 2012
Jupiter Fund Plus Series, Of Windermere Jupiter Fund, LLCHedge Fund$3.9M28Mar 30, 2012
Windermere Opportunistic Fund Series, Of Windermere Jupiter Fund, LLCHedge Fund$391,24596Mar 30, 2012
Cms / Barlow Long-Short Equity Fund, LLCHedge Fund$239,28363Mar 30, 2012
Windermere Equity Fund Series, Of Windermere Jupiter Fund, LLCHedge Fund$036Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • Bruce David Elliott · Chief Compliance Officer/Membercontrol
    since 03/2007 · owns less than 5%
  • Jay William Freeman · Directorcontrol
    since 05/2007 · owns less than 5%
  • Joseph Michael Pagano · Board Member
    since 04/2013 · owns less than 5%
Entity owners
  • Convergent Capital Management LLC · Interestholder/Member
    direct · owns 75% or more
  • RBC USA Holdco Corporation · Owner
    indirect · owns 75% or more of Convergent Capital Management LLC
  • Royal Bank Of Canada · Ultimate Owner
    indirect · owns 75% or more of RBC USA Holdco Corporation · public reporting company
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Convergent Wealth Advisors, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Pooled vehicle clients · unset to 3.0
    Sep 1, 2017 to Jan 29, 2018
  • Assets in custody · unset to 1598718.0
    Sep 1, 2017 to Jan 29, 2018
  • Custody of client assets · false to true
    Sep 1, 2017 to Jan 29, 2018
  • Employees · 2 to 1
    Sep 1, 2017 to Jan 29, 2018
  • Other offices · unset to 1.0
    Sep 1, 2017 to Jan 29, 2018
  • Discretionary RAUM · $54.9M to $19.5M
    Sep 1, 2017 to Jan 29, 2018
  • Pooled vehicle RAUM · unset to 19537746.0
    Sep 1, 2017 to Jan 29, 2018
  • RAUM · $54.9M to $19.5M
    Sep 1, 2017 to Jan 29, 2018
  • Accounts · 4 to 3
    Jan 25, 2017 to Sep 1, 2017
  • Employees · 11 to 2
    Jan 25, 2017 to Sep 1, 2017
  • HQ city · POTOMAC to BEVERLY HILLS
    Jan 25, 2017 to Sep 1, 2017
  • HQ state · MD to CA
    Jan 25, 2017 to Sep 1, 2017
  • Private funds · 4 to 3
    Jan 25, 2017 to Sep 1, 2017
  • Discretionary RAUM · $134M to $54.9M
    Jan 25, 2017 to Sep 1, 2017
  • RAUM · $134M to $54.9M
    Jan 25, 2017 to Sep 1, 2017
  • Accounts · 2,961 to 4
    Mar 30, 2016 to Dec 1, 2016
  • Advisory employees · 42 to 0
    Mar 30, 2016 to Dec 1, 2016
  • Advisory activities · 4 to 1
    Mar 30, 2016 to Dec 1, 2016
  • Assets in custody · 137744049.0 to unset
    Mar 30, 2016 to Dec 1, 2016
  • Employees · 56 to 11
    Mar 30, 2016 to Dec 1, 2016
  • Insurance-licensed employees · 2 to 0
    Mar 30, 2016 to Dec 1, 2016
  • Financial planning clients · 101-250 to 0
    Mar 30, 2016 to Dec 1, 2016
  • State-registered IARs · 45 to 0
    Mar 30, 2016 to Dec 1, 2016
  • Private funds · 5 to 4
    Mar 30, 2016 to Dec 1, 2016
  • Discretionary RAUM · $3.1B to $134M
    Mar 30, 2016 to Dec 1, 2016
  • Non-discretionary RAUM · $1.5B to $0
    Mar 30, 2016 to Dec 1, 2016
  • RAUM · $4.7B to $134M
    Mar 30, 2016 to Dec 1, 2016
  • Accounts · 2,533 to 2,961
    Dec 2, 2015 to Mar 30, 2016
  • BD registered reps · 12 to 0
    Dec 2, 2015 to Mar 30, 2016
  • Assets in custody · $1.1B to $138M
    Dec 2, 2015 to Mar 30, 2016
  • Custody of client assets · true to false
    Dec 2, 2015 to Mar 30, 2016
  • Employees · 67 to 56
    Dec 2, 2015 to Mar 30, 2016
  • Financial planning clients · 1-10 to 101-250
    Dec 2, 2015 to Mar 30, 2016
  • Discretionary RAUM · $3.3B to $3.1B
    Dec 2, 2015 to Mar 30, 2016
  • Non-discretionary RAUM · $1.7B to $1.5B
    Dec 2, 2015 to Mar 30, 2016
  • RAUM · $5.0B to $4.7B
    Dec 2, 2015 to Mar 30, 2016
  • Accounts · 3,499 to 2,533
    Oct 5, 2015 to Dec 2, 2015
  • Discretionary RAUM · $5.8B to $3.3B
    Oct 5, 2015 to Dec 2, 2015
  • Non-discretionary RAUM · $2.4B to $1.7B
    Oct 5, 2015 to Dec 2, 2015
  • RAUM · $8.2B to $5.0B
    Oct 5, 2015 to Dec 2, 2015
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
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