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.
Former SEC-registered adviser
Poplar Forest Capital LLC
Latest filing Mar 17, 2025
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Oct 31, 2007
RAUM
$1.3B
reported, Item 5.F
Discretionary
44%
of RAUM
Private clients
9.8%
$126M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.3B as of Mar 17, 2025
Mar 29, 2012$355M then
HNW client RAUM$125M as of Mar 17, 2025
Mar 28, 2018$133M then
State-registered IARs (5.B.3)2 as of Mar 17, 2025
Mar 29, 20120 then
Employees (5.A)10 as of Mar 17, 2025
Mar 26, 20138 then
Private funds1 as of Mar 17, 2025
Mar 29, 20121 then
RAUM +5.6% over the last fiscal year+1.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 17, 2025; every figure names its basis
- RAUM per advisor
- $641MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.3MderivedHNW RAUM over HNW clients
- Average account
- $20.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 44%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.6%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $11.4M, 6 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$684M53%
- Investment companies$374M29%
- High-net-worth individuals$125M9.8%
- Pooled investment vehicles$98.6M7.7%
- Individuals$474,9170.0%
- Individual clients
- n/areported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 64reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $2.4M managedreported
- Custody of client assets
- $11.4M for 6 clientsreported
- 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
- James Dale Harvey to Tocqueville Asset Management LPJun 17, 2025 · Other
- Christopher Evans Morphy to Tocqueville Asset Management LPApr 16, 2025 · Other
- Craig Odell Bailey to Pension & Wealth Management AdvisorsMar 29, 2021 · Other
Joined, latest
- Craig Odell Bailey from Nwq Investment Management Company, LLCFeb 5, 2021 · Other
- Christopher Evans Morphy from Gamble Jones Investment CounselFeb 19, 2016 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Poplar Forest Fund, L.P. | Other Private Fund | $96.6M | 15 | Mar 29, 2012 |
| Poplar Forest Outliers Fund, L.P.no longer reported | Other Private Fund | $3.5M | 2 | Mar 26, 2013 |
| Lake Avenue Partners Fund Select L.P.no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Erin Chetwood · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- Dale James Harvey · Managing Member, Chairman, & Ceocontrolsince 09/2007 · owns 75% or more
- Ryan Anne Newman · Chief Financial Officer And Chief Operating Officercontrolsince 01/2012 · owns less than 5%
- Wayne Drew Taylor · Presidentcontrolsince 03/2022 · owns less than 5%
- Scott Derek Derman · Research Analyst & Co-Portfolio Managersince 07/2017 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 71 to 64Mar 28, 2024 to Mar 17, 2025
- Advisory employees · 7 to 6Mar 28, 2024 to Mar 17, 2025
- HNW clients · 24 to 20Mar 28, 2024 to Mar 17, 2025
- Assets in custody · $106M to $11.4MMar 28, 2024 to Mar 17, 2025
- Employees · 13 to 10Mar 28, 2024 to Mar 17, 2025
- Discretionary RAUM · $728M to $566MMar 28, 2024 to Mar 17, 2025
- HNW RAUM · $154M to $125MMar 28, 2024 to Mar 17, 2025
- Individual RAUM · $419,304 to $474,917Mar 28, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $486M to $716MMar 28, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $96.6M to $98.6MMar 28, 2024 to Mar 17, 2025
- RAUM · $1.2B to $1.3BMar 28, 2024 to Mar 17, 2025
- Wrap assets (manager) · $3.8M to $2.4MMar 28, 2024 to Mar 17, 2025
- Accounts · 72 to 71Mar 21, 2023 to Mar 28, 2024
- HNW clients · 25 to 24Mar 21, 2023 to Mar 28, 2024
- Pooled vehicle clients · 2 to 1Mar 21, 2023 to Mar 28, 2024
- Assets in custody · $114M to $106MMar 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $856M to $728MMar 21, 2023 to Mar 28, 2024
- HNW RAUM · $171M to $154MMar 21, 2023 to Mar 28, 2024
- Individual RAUM · $621,588 to $419,304Mar 21, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $252M to $486MMar 21, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $104M to $96.6MMar 21, 2023 to Mar 28, 2024
- RAUM · $1.1B to $1.2BMar 21, 2023 to Mar 28, 2024
- Wrap assets (manager) · $4.5M to $3.8MMar 21, 2023 to Mar 28, 2024
- Accounts · 63 to 72Mar 31, 2022 to Mar 21, 2023
- Advisory employees · 9 to 7Mar 31, 2022 to Mar 21, 2023
- HNW clients · 22 to 25Mar 31, 2022 to Mar 21, 2023
- Pooled vehicle clients · 1 to 2Mar 31, 2022 to Mar 21, 2023
- Assets in custody · $114M to $114MMar 31, 2022 to Mar 21, 2023
- Employees · 14 to 13Mar 31, 2022 to Mar 21, 2023
- Private funds · 2 to 1Mar 31, 2022 to Mar 21, 2023
- Discretionary RAUM · $967M to $856MMar 31, 2022 to Mar 21, 2023
- HNW RAUM · $177M to $171MMar 31, 2022 to Mar 21, 2023
- Individual RAUM · $719,720 to $621,588Mar 31, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $261M to $252MMar 31, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $97.3M to $104MMar 31, 2022 to Mar 21, 2023
- RAUM · $1.2B to $1.1BMar 31, 2022 to Mar 21, 2023
- Wrap assets (manager) · $3.9M to $4.5MMar 31, 2022 to Mar 21, 2023
- Accounts · 36 to 63Jan 11, 2022 to Mar 31, 2022
- HNW clients · 25 to 22Jan 11, 2022 to Mar 31, 2022
- Assets in custody · $89.7M to $114MJan 11, 2022 to Mar 31, 2022
Signals
7 dated events
- Poplar Forest Capital Llc no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $1.3B)Jul 1, 2025 · Left the SEC roster · derived
- James Dale Harvey left Poplar Forest Capital Llc for Tocqueville Asset Management Lp (registered 2025-04-22)Jun 17, 2025 · Advisor changed firm · fact
- Christopher Evans Morphy left Poplar Forest Capital Llc for Tocqueville Asset Management Lp (registered 2025-04-22)Apr 16, 2025 · Advisor changed firm · fact
- Erin Chetwood (Chief Compliance Officer) appeared on Schedule A of Poplar Forest Capital LlcMar 31, 2022 · Control person joined · fact
- Wayne Drew Taylor (President) appeared on Schedule A of Poplar Forest Capital LlcMar 31, 2022 · Control person joined · fact
- Evans Christopher Morphy (President) no longer on Schedule A of Poplar Forest Capital Llc (listed 2022-01-11, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Poplar Forest Capital Llc reported RAUM $1.1B, down 27% from $1.5B (2020-06-30 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Poplar Forest Capital LLC · Family Officesshared cik · office
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