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
P•••••••• P•••••••• L••
Latest filing Jun 24, 2020
First filing on the tape Mar 9, 2012 · 12 filings
RAUM
$162M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$137M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$162M as of Feb 11, 2020
Mar 9, 2012$70.0M then
HNW client RAUM$126M as of Feb 11, 2020
Mar 27, 2018$114M then
State-registered IARs (5.B.3)2 as of Feb 11, 2020
Mar 27, 20182 then
Employees (5.A)2 as of Feb 11, 2020
Mar 27, 20182 then
Private funds: 1
RAUM +0.2% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 24, 2020; every figure names its basis
- RAUM per advisor
- $80.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $629,829derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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
- High-net-worth individuals$126M78%
- Charitable organizations$24.4M15%
- Individuals$11.9M7.4%
- Individual clients
- 29reported
- HNW clients
- 69reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 257reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- R••••• S••••• F•••••• to S••••• G••••• I••••••••• L••Mar 17, 2021 · RIA to RIA
- D•••• L•• H••••• to S••••• G••••• I••••••••• L••Jun 18, 2012 · Other
Joined, latest
- R••••• S••••• F•••••• from C••••• S••••• S••••••••• •••• L••Dec 19, 2007 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••• P•••••••• L••no longer reported | Hedge Fund | $0 | 3 | Mar 9, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• R•••••• S••••• · Managing Partner/Chief Compliance Officercontrolsince 08/2007 · owns 50% to 75%
- N•••••• F•••••••• C• · Managing Partner/Membercontrolsince 08/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 100 to 257Feb 12, 2019 to Feb 11, 2020
- HNW clients · 68 to 69Feb 12, 2019 to Feb 11, 2020
- Individual clients · 28 to 29Feb 12, 2019 to Feb 11, 2020
- Discretionary RAUM · $162M to $162MFeb 12, 2019 to Feb 11, 2020
- HNW RAUM · $125M to $126MFeb 12, 2019 to Feb 11, 2020
- RAUM · $162M to $162MFeb 12, 2019 to Feb 11, 2020
- Accounts · 88 to 100Mar 27, 2018 to Feb 12, 2019
- Charity clients · unset to 4.0Mar 27, 2018 to Feb 12, 2019
- HNW clients · 66 to 68Mar 27, 2018 to Feb 12, 2019
- Individual clients · 18 to 28Mar 27, 2018 to Feb 12, 2019
- Discretionary RAUM · $147M to $162MMar 27, 2018 to Feb 12, 2019
- HNW RAUM · $114M to $125MMar 27, 2018 to Feb 12, 2019
- Individual RAUM · $6.9M to $11.9MMar 27, 2018 to Feb 12, 2019
- RAUM · $147M to $162MMar 27, 2018 to Feb 12, 2019
- Accounts · 157 to 88Mar 2, 2017 to Mar 27, 2018
- Corporate clients · unset to 0.0Mar 2, 2017 to Mar 27, 2018
- HNW clients · unset to 66.0Mar 2, 2017 to Mar 27, 2018
- Individual clients · unset to 18.0Mar 2, 2017 to Mar 27, 2018
- Pension plan clients · unset to 0.0Mar 2, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 0.0Mar 2, 2017 to Mar 27, 2018
- Other offices · unset to 1.0Mar 2, 2017 to Mar 27, 2018
- Discretionary RAUM · $133M to $147MMar 2, 2017 to Mar 27, 2018
- HNW RAUM · unset to 114359311.0Mar 2, 2017 to Mar 27, 2018
- Individual RAUM · unset to 6900000.0Mar 2, 2017 to Mar 27, 2018
- RAUM · $133M to $147MMar 2, 2017 to Mar 27, 2018
- Accounts · 78 to 157Oct 24, 2012 to Mar 2, 2017
- Advisory employees · unset to 2.0Oct 24, 2012 to Mar 2, 2017
- Employees · unset to 2.0Oct 24, 2012 to Mar 2, 2017
- State-registered IARs · unset to 2.0Oct 24, 2012 to Mar 2, 2017
- Discretionary RAUM · $70.0M to $133MOct 24, 2012 to Mar 2, 2017
- RAUM · $70.0M to $133MOct 24, 2012 to Mar 2, 2017
- Insurance-licensed employees · 1 to 0May 15, 2012 to Jun 18, 2012
- Private funds · 1 to unsetApr 23, 2012 to Apr 26, 2012
Signals
1 dated events
- P•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Mar 2, 2017 · First SEC registration · fact
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