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•••• A•••• M••••••••• L••
Latest filing Mar 13, 2024
First filing on the tape Feb 10, 2012 · 19 filings
RAUM
$679M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$595M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$30.6M gross assets
History
19 filings and snapshots on the tape
RAUM$679M as of Mar 13, 2024
Feb 10, 2012$447M then
HNW client RAUM$583M as of Mar 13, 2024
Mar 1, 2018$519M then
State-registered IARs (5.B.3)1 as of Mar 13, 2024
Feb 10, 20120 then
Employees (5.A)6 as of Mar 13, 2024
Mar 4, 20136 then
Private funds1 as of Mar 13, 2024
Mar 6, 20231 then
RAUM +5.9% over the last fiscal year+0.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 2024; every figure names its basis
- RAUM per advisor
- $679MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 266derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $30.6M, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$583M86%
- Pooled investment vehicles$46.4M6.8%
- Pension and profit-sharing plans$27.3M4.0%
- Individuals$12.1M1.8%
- Charitable organizations$6.7M1.0%
- Other investment advisers$2.9M0.4%
- Corporations and businesses$801,9100.1%
- Individual clients
- 51reported
- HNW clients
- 215reported
- Pension plan clients
- 22reported
- Charitable clients
- 12reported
- Accounts
- 305reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $2.9M managedreported
- Custody of client assets
- $30.6M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• J••••• L••••••• · Chief Compliance Officercontrolsince 10/2007 · owns 75% or more
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 · 317 to 305Mar 7, 2023 to Mar 13, 2024
- Charity clients · 13 to 12Mar 7, 2023 to Mar 13, 2024
- HNW clients · 234 to 215Mar 7, 2023 to Mar 13, 2024
- Individual clients · 62 to 51Mar 7, 2023 to Mar 13, 2024
- Pension plan clients · 3 to 22Mar 7, 2023 to Mar 13, 2024
- Assets in custody · $26.4M to $30.6MMar 7, 2023 to Mar 13, 2024
- Organization form · Limited Liability Company to Limited Liability PartnershipMar 7, 2023 to Mar 13, 2024
- Discretionary RAUM · $641M to $679MMar 7, 2023 to Mar 13, 2024
- HNW RAUM · $542M to $583MMar 7, 2023 to Mar 13, 2024
- Individual RAUM · $13.9M to $12.1MMar 7, 2023 to Mar 13, 2024
- Pension RAUM · $28.7M to $27.3MMar 7, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $39.5M to $46.4MMar 7, 2023 to Mar 13, 2024
- RAUM · $641M to $679MMar 7, 2023 to Mar 13, 2024
- Wrap assets (manager) · $2.6M to $2.9MMar 7, 2023 to Mar 13, 2024
- Accounts · 334 to 317Mar 3, 2022 to Mar 6, 2023
- Charity clients · 14 to 13Mar 3, 2022 to Mar 6, 2023
- Corporate clients · unset to 1.0Mar 3, 2022 to Mar 6, 2023
- HNW clients · 237 to 234Mar 3, 2022 to Mar 6, 2023
- Individual clients · 76 to 62Mar 3, 2022 to Mar 6, 2023
- Pension plan clients · 5 to 3Mar 3, 2022 to Mar 6, 2023
- Pooled vehicle clients · 1 to 3Mar 3, 2022 to Mar 6, 2023
- Assets in custody · $30.0M to $26.4MMar 3, 2022 to Mar 6, 2023
- Custody of client assets · false to trueMar 3, 2022 to Mar 6, 2023
- Private funds · unset to 1Mar 3, 2022 to Mar 6, 2023
- Discretionary RAUM · $741M to $641MMar 3, 2022 to Mar 6, 2023
- HNW RAUM · $615M to $542MMar 3, 2022 to Mar 6, 2023
- Individual RAUM · $23.0M to $13.9MMar 3, 2022 to Mar 6, 2023
- Pension RAUM · $53.0M to $28.7MMar 3, 2022 to Mar 6, 2023
- Pooled vehicle RAUM · $30.0M to $39.5MMar 3, 2022 to Mar 6, 2023
- RAUM · $741M to $641MMar 3, 2022 to Mar 6, 2023
- Wrap assets (manager) · $3.0M to $2.6MMar 3, 2022 to Mar 6, 2023
- Accounts · 336 to 334Mar 3, 2021 to Feb 16, 2022
- Charity clients · 11 to 14Mar 3, 2021 to Feb 16, 2022
- HNW clients · 222 to 237Mar 3, 2021 to Feb 16, 2022
- Individual clients · 94 to 76Mar 3, 2021 to Feb 16, 2022
- Pension plan clients · 7 to 5Mar 3, 2021 to Feb 16, 2022
- Assets in custody · $24.0M to $30.0MMar 3, 2021 to Feb 16, 2022
- Custody of client assets · true to falseMar 3, 2021 to Feb 16, 2022
- Discretionary RAUM · $661M to $741MMar 3, 2021 to Feb 16, 2022
- HNW RAUM · $548M to $615MMar 3, 2021 to Feb 16, 2022
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