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
A•••••• P•••••••• L••
Latest filing Jun 15, 2020
First filing on the tape Feb 16, 2012 · 11 filings
RAUM
$179M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
72%
$129M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$179M as of Feb 24, 2020
Feb 16, 2012$274M then
HNW client RAUM$94.6M as of Feb 24, 2020
Mar 19, 2018$96.6M then
State-registered IARs (5.B.3)3 as of Feb 24, 2020
Mar 21, 20130 then
Employees (5.A)4 as of Feb 24, 2020
Mar 21, 20135 then
Private funds: no history
RAUM +0.6% over the last fiscal year-1.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 15, 2020; every figure names its basis
- RAUM per advisor
- $59.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $414,971derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.6%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 feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $38.5M, 77 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$94.6M53%
- Insurance companies$39.3M22%
- Individuals$34.9M19%
- Charitable organizations$5.8M3.2%
- Corporations and businesses$3.1M1.7%
- Pension and profit-sharing plans$1.2M0.6%
- Individual clients
- 140reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 431reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.5M for 77 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- J•••• L••• G••••• to P••• A• Y•••••• • A••••••••• L•••Dec 31, 2020 · RIA to a newly registered adviser
- P••• A••••• Y••••••• J•• to P••• A• Y•••••• • A••••••••• L•••Dec 31, 2020 · RIA to a newly registered adviser
Joined, latest
- P••• A••••• Y••••••• J•• from Y•••••• P••• A• • A••••••••• L••May 28, 2008 · Other
- G••• A• Y•••• from F•• A•••••••• I•••Dec 5, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• J••••• L••• · Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
- Y••••• J••• G•••• A• · Elected Managing Membercontrolsince 10/2007 · owns less than 5%
- Y••••••• J••• P•••• A••••• · Elected Membercontrolsince 10/2007 · owns less than 5%
- Y••••• J••• G•••• A• · Elected Managing Member, Chief Compliance Officer And Equity Ownercontrolsince 03/2006 · owns 75% or more of G••• Y•••• • A••••••••• L••
- Y••••••• J••• P•••• A••••• · Elected Member And Equity Ownercontrolsince 12/1997 · owns 75% or more of P••• A• Y•••••• • A••••••••• L•••
Entity owners
- G••• Y•••• • A••••••••• L•• · Equity Ownerdirect · owns 50% to 75%
- P••• A• Y•••••• • A••••••••• L••• · Equity Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Fairbanks, AK2 employees
What changed
consecutive filings, newest first
- Accounts · 429 to 431Feb 13, 2019 to Feb 24, 2020
- HNW clients · 78 to 63Feb 13, 2019 to Feb 24, 2020
- Individual clients · 106 to 140Feb 13, 2019 to Feb 24, 2020
- Discretionary RAUM · $162M to $167MFeb 13, 2019 to Feb 24, 2020
- HNW RAUM · $97.9M to $94.6MFeb 13, 2019 to Feb 24, 2020
- Individual RAUM · $31.5M to $34.9MFeb 13, 2019 to Feb 24, 2020
- Non-discretionary RAUM · $15.8M to $12.1MFeb 13, 2019 to Feb 24, 2020
- Pension RAUM · $1.2M to $1.2MFeb 13, 2019 to Feb 24, 2020
- RAUM · $178M to $179MFeb 13, 2019 to Feb 24, 2020
- Accounts · 434 to 429Mar 19, 2018 to Feb 13, 2019
- Advisory employees · 2 to 3Mar 19, 2018 to Feb 13, 2019
- Corporate clients · 1.0 to unsetMar 19, 2018 to Feb 13, 2019
- HNW clients · 48 to 78Mar 19, 2018 to Feb 13, 2019
- Individual clients · 138 to 106Mar 19, 2018 to Feb 13, 2019
- Pension plan clients · 2.0 to unsetMar 19, 2018 to Feb 13, 2019
- Assets in custody · $73.3M to $38.5MMar 19, 2018 to Feb 13, 2019
- Financial planning clients · 1-10 to 0Mar 19, 2018 to Feb 13, 2019
- Discretionary RAUM · $170M to $162MMar 19, 2018 to Feb 13, 2019
- HNW RAUM · $96.6M to $97.9MMar 19, 2018 to Feb 13, 2019
- Individual RAUM · $37.0M to $31.5MMar 19, 2018 to Feb 13, 2019
- Non-discretionary RAUM · $14.0M to $15.8MMar 19, 2018 to Feb 13, 2019
- Pension RAUM · $1.2M to $1.2MMar 19, 2018 to Feb 13, 2019
- RAUM · $184M to $178MMar 19, 2018 to Feb 13, 2019
- Accounts · 415 to 434Mar 28, 2017 to Mar 19, 2018
- Charity clients · unset to 5.0Mar 28, 2017 to Mar 19, 2018
- Corporate clients · unset to 1.0Mar 28, 2017 to Mar 19, 2018
- HNW clients · unset to 48.0Mar 28, 2017 to Mar 19, 2018
- Individual clients · unset to 138.0Mar 28, 2017 to Mar 19, 2018
- Pension plan clients · unset to 2.0Mar 28, 2017 to Mar 19, 2018
- Assets in custody · unset to 73300966.0Mar 28, 2017 to Mar 19, 2018
- Custody of client assets · false to trueMar 28, 2017 to Mar 19, 2018
- Employees · 5 to 4Mar 28, 2017 to Mar 19, 2018
- State-registered IARs · 0 to 3Mar 28, 2017 to Mar 19, 2018
- Other offices · unset to 1.0Mar 28, 2017 to Mar 19, 2018
- Discretionary RAUM · $175M to $170MMar 28, 2017 to Mar 19, 2018
- HNW RAUM · unset to 96626804.0Mar 28, 2017 to Mar 19, 2018
- Individual RAUM · unset to 37048429.0Mar 28, 2017 to Mar 19, 2018
- Non-discretionary RAUM · $14.4M to $14.0MMar 28, 2017 to Mar 19, 2018
- Pension RAUM · unset to 1246195.0Mar 28, 2017 to Mar 19, 2018
- RAUM · $189M to $184MMar 28, 2017 to Mar 19, 2018
Signals
1 dated events
- Lynn Jaime Graham (Chief Compliance Officer) appeared on Schedule A of A•••••• P•••••••• L••Feb 24, 2020 · Control person joined · 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