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••• F•••••• A•••• M••••••••• L••
Latest filing Jun 30, 2016
First filing on the tape Mar 29, 2012 · 16 filings
RAUM
$159M
reported, Item 5.F
Discretionary
0.0%
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
152
50 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$159M as of Mar 29, 2016
Mar 29, 2012$90.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)50 as of Mar 29, 2016
Mar 29, 20120 then
Employees (5.A)152 as of Mar 29, 2016
Mar 15, 2013112 then
Private funds: no history
RAUM +3.0% over the last fiscal year+14% a year over threeIARs 46 to 50
Practice profile
derived from the filing of Jun 30, 2016; every figure names its basis
- RAUM per advisor
- $3.2MderivedRAUM 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
- $142,057derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 7.1derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.7%derivedItem 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 institutions, selection of other advisersreportedItem 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
- 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
- 1,117reported
- 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
- D•••• E•••• A••••• to M•• I•••••••• S•••••••• L••Jan 4, 2017 · Other
- L••• J••• R••••••••• to C•••••• S••••••••• M••••••••• I•••Jan 4, 2017 · Other
- D•••• K•••• M••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Jan 4, 2017 · Other
- N••••• C••••• to N••• F•••••• I••••••••• S•••••••• L••Oct 28, 2016 · Other
- J••••• A••• B••••• to T• A••••••••• I•••Jun 16, 2016 · Other
- S•••••• B•••••• S••••••••• to C••••• I••••••••• A••••••• L••May 6, 2016 · Other
- J••••• R••••• P••••• to C••••• I••••••••• A••••••• L••Sep 14, 2015 · Other
- T••••• M••• H•••• to T• A••••••••• I•••Apr 23, 2014 · Other
- T••• A••••• G••••••• to C••• B•••••••• S•••••••• I•••Mar 18, 2013 · Other
- J••••• M••••••• Y•••••••• to N•• E•••••• S••••••••• C•••••••••Dec 4, 2012 · Other
- S••••• M••••• B••••••• to P•• W••••• M•••••••••Oct 9, 2012 · Other
- D•••••••• A•••• H•••••• to N••• F•••••• I••••••••• S•••••••• L••Jun 13, 2011 · Other
- P••••• P••••• to M••••••• F•••••••• G••••• I•••Oct 13, 2010 · Other
- S••• M•••••••• M•••••••• to S•••••••• A••••••• L••Jun 9, 2010 · Other
- M•••••• B• R••••••••• to S••••••• F•••••••• S•••••••• I•••Jan 4, 2010 · Other
Joined, latest
- K•••• M•••••• O••••••• from O•••• I••••••••• I•••Aug 31, 2016 · Other
- W••••• H••••• K••• from M••••• S••••••Aug 29, 2016 · Other
- B•••• F••••••• from O•••• F•• I•••Aug 15, 2016 · Other
- M•••••• M••••• T••••••• from L•• F•••••••• L••Apr 21, 2016 · Other
- Z•••••• W• O•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 3, 2016 · Other
- K•••• R••••• S•••• from S•••••• S••••••••• I•••Jan 21, 2016 · Other
- P•••••• B••• B••••• from I••••••••• P••••••••• I•••Sep 3, 2015 · Other
- T••• L• P••••••• from I••••• F•••••••• C•••••••••Aug 19, 2015 · Other
- S•••••• B•••••• S••••••••• from W•••• F•••• A•••••••Mar 20, 2015 · Other
- J••••• R••••• P••••• from E••••• J••••Jun 19, 2014 · Other
- M••••• C•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 1, 2014 · Other
- R••••• A•• M••••• from W•••• F•••• A•••••••Apr 1, 2014 · Other
- K•••••• C•••••• H••• from W•••• F•••• A•••••••Nov 13, 2013 · Other
- D••••• O••• A••••• from A••••••••• F•••••••• S•••••••• L••Sep 21, 2012 · Other
- M••••••• Z•••••• from V••• F•••••••• A•••••••• I•••Mar 26, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• M•••• F••••• · Chief Compliance Officer / Avp Compliancecontrolsince 06/2016 · owns less than 5%
- G•••• X•••••••• H•• · Finopcontrolsince 06/2016 · owns less than 5%
- W•••• P•••••••• P•••••••• · Chief Operating Officercontrolsince 06/2016 · owns less than 5%
Entity owners
- N••• F•••••• F•••••••• G••••• L•• · Owner/Managing Memberdirect · owns 75% or more
- N••• F•••••• C••••• U•••• · Owner/Managing Memberindirect · owns 75% or more of N••• F•••••• F•••••••• G••••• L••
Related persons
Schedule D 7.A
- N••• F•••••• I••••••••• S•••••••• L••broker-dealernRAUM $2.1B
Offices
Schedule D 1.F, the 25 largest
- Carlsbad, CA
- Pensacola, FL
- Pensacola, FL
- Silverdale, WA
- Vienna, VA
- Virginia Beach, VA
What changed
consecutive filings, newest first
- Accounts · 1,088 to 1,117Mar 31, 2015 to Mar 29, 2016
- Advisory employees · 46 to 50Mar 31, 2015 to Mar 29, 2016
- BD registered reps · 46 to 50Mar 31, 2015 to Mar 29, 2016
- Employees · 129 to 152Mar 31, 2015 to Mar 29, 2016
- State-registered IARs · 46 to 50Mar 31, 2015 to Mar 29, 2016
- Non-discretionary RAUM · $154M to $159MMar 31, 2015 to Mar 29, 2016
- RAUM · $154M to $159MMar 31, 2015 to Mar 29, 2016
- Accounts · 788 to 1,088Feb 6, 2015 to Mar 30, 2015
- Advisory employees · 45 to 46Feb 6, 2015 to Mar 30, 2015
- BD registered reps · 45 to 46Feb 6, 2015 to Mar 30, 2015
- Employees · 112 to 129Feb 6, 2015 to Mar 30, 2015
- State-registered IARs · 45 to 46Feb 6, 2015 to Mar 30, 2015
- Non-discretionary RAUM · $132M to $154MFeb 6, 2015 to Mar 30, 2015
- RAUM · $132M to $154MFeb 6, 2015 to Mar 30, 2015
- Accounts · 841 to 788Feb 28, 2014 to Mar 21, 2014
- Non-discretionary RAUM · $107M to $132MFeb 28, 2014 to Mar 21, 2014
- RAUM · $107M to $132MFeb 28, 2014 to Mar 21, 2014
- Accounts · 695 to 841Nov 16, 2012 to Mar 15, 2013
- Advisory employees · 35 to 45Nov 16, 2012 to Mar 15, 2013
- BD registered reps · 35 to 45Nov 16, 2012 to Mar 15, 2013
- Employees · 52 to 112Nov 16, 2012 to Mar 15, 2013
- Financial planning clients · 0 to unsetNov 16, 2012 to Mar 15, 2013
- State-registered IARs · 35 to 45Nov 16, 2012 to Mar 15, 2013
- Discretionary RAUM · $90.0M to $0Nov 16, 2012 to Mar 15, 2013
- Non-discretionary RAUM · $0 to $107MNov 16, 2012 to Mar 15, 2013
- RAUM · $90.0M to $107MNov 16, 2012 to Mar 15, 2013
- Advisory employees · unset to 35.0Mar 29, 2012 to Nov 16, 2012
- BD registered reps · unset to 35.0Mar 29, 2012 to Nov 16, 2012
- Employees · unset to 52.0Mar 29, 2012 to Nov 16, 2012
- State-registered IARs · 0 to 35Mar 29, 2012 to Nov 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