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
M••••••• I••••••••• A••••••• L••
Latest filing Mar 29, 2021
First filing on the tape Mar 26, 2012 · 13 filings
RAUM
$337M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
72%
$241M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$337M as of Mar 29, 2021
Mar 26, 2012$277M then
HNW client RAUM$229M as of Mar 29, 2021
Mar 27, 2018$242M then
State-registered IARs (5.B.3)2 as of Mar 29, 2021
Mar 26, 20120 then
Employees (5.A)5 as of Mar 29, 2021
Mar 27, 20134 then
Private funds: no history
RAUM +27% over the last fiscal year-0.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 2021; every figure names its basis
- RAUM per advisor
- $168MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $3.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$229M68%
- Corporations and businesses$82.2M24%
- Individuals$12.3M3.6%
- Charitable organizations$9.6M2.9%
- Pension and profit-sharing plans$3.9M1.2%
- Individual clients
- 15reported
- HNW clients
- 76reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 103reported
- Financial planning clients
- 0reported
- 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
- L•••• R•••••• to A•••••••• P•••••••• L••Aug 17, 2021 · RIA to RIA
Joined, latest
- L•••• R•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 1, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• M•••••• H••••• · President/Sole Membercontrolsince 11/1998 · owns 75% or more
- C•••••••• D••••• L••• · Vice Presidentsince 03/2010 · owns less than 5%
- R••••••• O•••••• C••••••• · Chief Compliance Officer & Vpsince 09/2008 · owns less than 5%
- R••••••• L•••• · Executive Vice Presidentsince 03/2010 · owns less than 5%
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
- Accounts · 125 to 103Jun 9, 2020 to Mar 29, 2021
- HNW clients · 93 to 76Jun 9, 2020 to Mar 29, 2021
- Individual clients · 20 to 15Jun 9, 2020 to Mar 29, 2021
- Discretionary RAUM · $231M to $313MJun 9, 2020 to Mar 29, 2021
- HNW RAUM · $189M to $229MJun 9, 2020 to Mar 29, 2021
- Individual RAUM · $11.4M to $12.3MJun 9, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $33.8M to $23.7MJun 9, 2020 to Mar 29, 2021
- Pension RAUM · $2.7M to $3.9MJun 9, 2020 to Mar 29, 2021
- RAUM · $265M to $337MJun 9, 2020 to Mar 29, 2021
- Accounts · 139 to 125Mar 27, 2019 to Mar 26, 2020
- HNW clients · 97 to 93Mar 27, 2019 to Mar 26, 2020
- Individual clients · 30 to 20Mar 27, 2019 to Mar 26, 2020
- Employees · 4 to 5Mar 27, 2019 to Mar 26, 2020
- Discretionary RAUM · $282M to $231MMar 27, 2019 to Mar 26, 2020
- HNW RAUM · $248M to $189MMar 27, 2019 to Mar 26, 2020
- Individual RAUM · $14.2M to $11.4MMar 27, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $58.3M to $33.8MMar 27, 2019 to Mar 26, 2020
- Pension RAUM · $3.3M to $2.7MMar 27, 2019 to Mar 26, 2020
- RAUM · $340M to $265MMar 27, 2019 to Mar 26, 2020
- Accounts · 141 to 139Mar 27, 2018 to Mar 27, 2019
- HNW clients · 96 to 97Mar 27, 2018 to Mar 27, 2019
- Individual clients · 33 to 30Mar 27, 2018 to Mar 27, 2019
- Discretionary RAUM · $278M to $282MMar 27, 2018 to Mar 27, 2019
- HNW RAUM · $242M to $248MMar 27, 2018 to Mar 27, 2019
- Individual RAUM · $15.3M to $14.2MMar 27, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $61.3M to $58.3MMar 27, 2018 to Mar 27, 2019
- Pension RAUM · $3.1M to $3.3MMar 27, 2018 to Mar 27, 2019
- RAUM · $339M to $340MMar 27, 2018 to Mar 27, 2019
- Accounts · 149 to 141Mar 28, 2017 to Mar 27, 2018
- Charity clients · unset to 3.0Mar 28, 2017 to Mar 27, 2018
- Corporate clients · unset to 8.0Mar 28, 2017 to Mar 27, 2018
- HNW clients · unset to 96.0Mar 28, 2017 to Mar 27, 2018
- Individual clients · unset to 33.0Mar 28, 2017 to Mar 27, 2018
- Pension plan clients · unset to 1.0Mar 28, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Discretionary RAUM · $266M to $278MMar 28, 2017 to Mar 27, 2018
- HNW RAUM · unset to 242256033.0Mar 28, 2017 to Mar 27, 2018
- Individual RAUM · unset to 15329172.0Mar 28, 2017 to Mar 27, 2018
- Non-discretionary RAUM · $63.5M to $61.3MMar 28, 2017 to Mar 27, 2018
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