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
F•••••••• P••••••• I••••••••• C••••••••• L••
Latest filing Aug 19, 2019
First filing on the tape Mar 2, 2012 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 14, 2019
Mar 2, 20120 then
Employees (5.A)4 as of Mar 14, 2019
Feb 28, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3offices 2 to 3
Practice profile
derived from the filing of Aug 19, 2019; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, pension consultingreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 2reported
- Charitable clients
- 2reported
- Accounts
- n/areported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
- K•••••• F•••••• J••••• to B•• R••••••••• S•••••••Oct 18, 2019 · Other
- S••••• K••• G••••••• to B•• R••••••••• S•••••••Oct 18, 2019 · Other
- M•••••• V••••• A•••• to B•• R••••••••• S•••••••Oct 18, 2019 · Other
Joined, latest
- K•••••• F•••••• J••••• from I••••••••• F•••••••• P•••••••Nov 7, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for B•• R••••••••• S•••••••Oct 18, 2019 · Clearwater, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• K••••••• F•••••• · Managing Member/Chief Compliance Officercontrolsince 09/2007 · owns 50% to 75%
- R•••••• R••••• J•• · Managing Membercontrolsince 09/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
- F•••••••• P••••••• G••••• L••LP sponsorn
- F•••••••• P••••••• R••••••••• G••••LP sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 2 to 3Mar 14, 2019 to Aug 19, 2019
- Charity clients · unset to 2.0Aug 1, 2018 to Mar 14, 2019
- Corporate clients · unset to 63.0Aug 1, 2018 to Mar 14, 2019
- Pension plan clients · 65 to 2Aug 1, 2018 to Mar 14, 2019
- Pension plan clients · unset to 65.0Mar 23, 2017 to Feb 28, 2018
- Other offices · unset to 2.0Mar 23, 2017 to Feb 28, 2018
- Employees · 5 to 4Mar 21, 2016 to Mar 23, 2017
- Financial planning clients · 0 to 1-10Mar 21, 2016 to Mar 23, 2017
- State-registered IARs · 4 to 3Mar 21, 2016 to Mar 23, 2017
- Advisory activities · 1 to 2Mar 3, 2016 to Mar 21, 2016
- Financial planning clients · unset to 0Mar 3, 2016 to Mar 21, 2016
- Employees · 4 to 5May 27, 2014 to Mar 26, 2015
- State-registered IARs · 3 to 4May 27, 2014 to Mar 26, 2015
- Advisory employees · unset to 3.0Mar 2, 2012 to Feb 28, 2013
- Employees · unset to 4.0Mar 2, 2012 to Feb 28, 2013
- State-registered IARs · 0 to 3Mar 2, 2012 to Feb 28, 2013
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