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
C••••••• W••••• A•••••••• L••
Latest filing Mar 28, 2014
First filing on the tape Apr 2, 2012 · 17 filings
RAUM
$10,357
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$10,357 as of Mar 28, 2014
Apr 2, 2012$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 28, 2014
Mar 27, 20133 then
Employees (5.A)5 as of Mar 28, 2014
Mar 27, 20134 then
Private funds: no history
RAUM -99% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 2014; every figure names its basis
- RAUM per advisor
- $3,452derivedRAUM 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
- $10,357derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -99%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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
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
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- J•• B••••• to D••••• C•••••• M•••••••••Jun 19, 2014 · Other
- P•••••• J•••• to W•••• F•••• A•••••••Jun 19, 2014 · Other
- D•••• B••••••• M•••••• to B•••• C••••••Jun 19, 2014 · Other
- A••••• D•••• K•••• to A•••• W••••• A•••••••• L••Dec 31, 2012 · Other
- B••••••• L• M••••• to A•••• W••••• A•••••••• L••Dec 31, 2012 · Other
- A••••• D••• to A•••• W••••• A•••••••• L••Dec 31, 2012 · Other
- T••• C••••••••• D•••••••• to A•••• W••••• A•••••••• L••Dec 17, 2012 · Other
- A••••• D••••• F••••• to R•••• A••••••• S•••••••• I•••Sep 4, 2012 · Other
- K•••• J••• S••••••••• to R•••• A••••••• S•••••••• I•••Sep 4, 2012 · Other
- T•••• D••• W•••••• to A•••• C••••••• L•••Jul 18, 2012 · Other
- M••••••• R•••• S••••••• to D••• A••••••• S•••••••• L••Jul 6, 2012 · Other
- T••••• A••••• K•••••• to K•••••• A•••••••May 25, 2012 · Other
- J•••••• C•••••• P••••••• to K•••••• A•••••••May 25, 2012 · Other
- J••••••• C•• M••• to L•• F•••••••• L••May 8, 2012 · Other
- M•••••• K••• S••••• to L•• F•••••••• L••May 8, 2012 · Other
Joined, latest
- D•••• B••••••• M•••••• from D••••• C•••••• M•••••••••Aug 29, 2012 · Other
- A••••• D•••• K•••• from D••••• C•••••• M•••••••••Apr 19, 2012 · Other
- M••••• M•••• S•••• from S•••••••• A••••••• L••Feb 1, 2012 · Other
- J•• B••••• from D••••• C•••••• M•••••••••Aug 10, 2011 · Other
- Z•••••• B•••••••• from J•• F•••••••• G••••• I•••Jul 8, 2011 · Other
- T•••• D••• W•••••• from Q•• F•••••••• L••Feb 11, 2011 · Other
- M••••••• R•••• S••••••• from P•••••••• S••••••••• I•••Jan 4, 2011 · Other
- B••••••• L• M••••• from D••••• C•••••• M•••••••••Nov 19, 2010 · Other
- T••• C••••••••• D•••••••• from D••••• C•••••• M•••••••••Nov 4, 2010 · Other
- A••••• D••• from D••••• C•••••• M•••••••••Nov 4, 2010 · Other
- C••••••••• A••• U•••• from D••••• C•••••• M•••••••••Nov 2, 2010 · Other
- P•••••• J•••• from D••••• C•••••• M•••••••••Nov 2, 2010 · Other
- A••••• D••••• F••••• from E•••••• A••••••• L••Sep 27, 2010 · Other
- K•••• J••• S••••••••• from E•••••• A••••••• L••Sep 27, 2010 · Other
- G••• D•••• A••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 21, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• M•••• B•••• · Ccocontrolsince 01/2014 · owns less than 5%
- D•••••• D•••••• G••• · Chief Executive Officercontrolsince 03/2007 · owns less than 5%
- D•••••• D•••••• G••• · Managing Membercontrolsince 03/2007 · owns 50% to 75% of D•• P•••••••• L••
Entity owners
- D•• P•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••• M••••••••• I••pooled vehicle sponsorn
- D•• P•••••••• L••pooled vehicle sponsorn
- D••••• B•••••• A••••••••• L••LP sponsorn
- D••••• C•••••• M•••••••••investment advisernRAUM $38.0M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 22 to 1Sep 13, 2013 to Mar 28, 2014
- Advisory activities · 4 to 3Sep 13, 2013 to Mar 28, 2014
- Employees · 4 to 5Sep 13, 2013 to Mar 28, 2014
- Financial planning clients · 1-10 to 0Sep 13, 2013 to Mar 28, 2014
- Discretionary RAUM · $1.4M to $10,357Sep 13, 2013 to Mar 28, 2014
- RAUM · $1.4M to $10,357Sep 13, 2013 to Mar 28, 2014
- HQ city · CLIVE to J•••STONMar 27, 2013 to Apr 22, 2013
- Accounts · 914 to 22Nov 14, 2012 to Mar 27, 2013
- Advisory activities · 6 to 4Nov 14, 2012 to Mar 27, 2013
- BD registered reps · 9 to 0Nov 14, 2012 to Mar 27, 2013
- Commission compensation · true to falseNov 14, 2012 to Mar 27, 2013
- Employees · 9 to 4Nov 14, 2012 to Mar 27, 2013
- Insurance-licensed employees · 2 to 3Nov 14, 2012 to Mar 27, 2013
- Financial planning clients · 101-250 to 1-10Nov 14, 2012 to Mar 27, 2013
- State-registered IARs · 5 to 3Nov 14, 2012 to Mar 27, 2013
- Discretionary RAUM · $115M to $1.4MNov 14, 2012 to Mar 27, 2013
- RAUM · $115M to $1.4MNov 14, 2012 to Mar 27, 2013
- Related broker-dealer · true to falseNov 14, 2012 to Mar 27, 2013
- Advisory employees · unset to 3.0Oct 26, 2012 to Nov 12, 2012
- BD registered reps · unset to 9.0Oct 26, 2012 to Nov 12, 2012
- Employees · unset to 9.0Oct 26, 2012 to Nov 12, 2012
- State-registered IARs · unset to 5.0Oct 26, 2012 to Nov 12, 2012
- Insurance-licensed employees · 11 to 2Jun 7, 2012 to Oct 26, 2012
- Business name · D••••• A••••••• to C••••••• W••••• A•••••••• L••Apr 2, 2012 to Apr 30, 2012
- Legal name · D••••• A•••••••, LLC to C••••••• W••••• A•••••••• L••Apr 2, 2012 to Apr 30, 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