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•••••••
Legal name C••••••••• A••••••• C•••••••••
Latest filing Mar 30, 2018
First filing on the tape Apr 9, 2012 · 13 filings
RAUM
$26.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$26.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 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$26.2M as of Mar 30, 2018
Apr 9, 2012$28.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2018
Apr 4, 20132 then
Employees (5.A)1 as of Mar 30, 2018
Apr 4, 20134 then
Private funds: no history
RAUM -40% over the last fiscal year-12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
- RAUM per advisor
- $26.2MderivedRAUM 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
- $94,676derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -40%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$26.2M100%
- Individual clients
- 277reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 277reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- N••••• H••• M•••• to V•••••• A•••• M••••••••• I•••Aug 9, 2018 · RIA to a state-registered adviser
- M••••• J• B•••• I•• to V•••••• A•••• M••••••••• I•••Mar 9, 2018 · RIA to a state-registered adviser
- E• T••••••• M•••••• to S••••• O•• S••••••••• I•••Dec 31, 2016 · Other
- M•••• A•••••• R•••••• to V•••••• A•••• M••••••••• I•••May 31, 2016 · Other
- J•••••• J•• K•••••• to C••••••• A•••• M••••••••• L••Dec 31, 2014 · Other
- D•••• C•••••• K••• to S•••••• I••••••••• L••Dec 31, 2014 · Other
- N••••• H••• M•••• to C••••••• A•••• M••••••••• L••Dec 31, 2014 · Other
- D•••••• M•••••• S•••• to D•••••• I••••••••• S••••••• I••Feb 15, 2012 · Other
- B•••• A•••• G••••• to S••••• O•• S••••••••• I•••Apr 14, 2011 · Other
- J•••• C••••••••• V••••• P•• to S••••• O•• S••••••••• I•••Apr 14, 2011 · Other
Joined, latest
- M••••• J• B•••• I•• from P•••••• L•••• M•••• M••••••••• I•••Jul 21, 2016 · Other
- N••••• H••• M•••• from C••••••• A•••• M••••••••• L••Jul 9, 2015 · Other
- D•••• C•••••• K••• from L•• F•••••••• L••Jul 11, 2013 · Other
- D•••••• M•••••• S•••• from E••••• J••••Oct 4, 2010 · Other
- J•••• C••••••••• V••••• P•• from L•• F•••••••• L••Jan 28, 2010 · Other
- E• T••••••• M•••••• from S••••• O•• S••••••••• I•••Jul 16, 2008 · Other
- J•••••• J•• K•••••• from Q•••••• A•••• M••••••••• I•••May 14, 2008 · Other
- B•••• A•••• G••••• from Q•••••• A•••• M••••••••• I•••Mar 3, 2008 · Other
- N••••• H••• M•••• from Q•••••• A•••• M••••••••• I•••Feb 20, 2008 · Other
- M•••• A•••••• R•••••• from Q•••••• A•••• M••••••••• I•••Feb 13, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• N•••••• H••• · President/Chief Compliance Officercontrolsince 01/2008 · 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 · 274 to 277Nov 17, 2017 to Mar 30, 2018
- Charity clients · 0.0 to unsetNov 17, 2017 to Mar 30, 2018
- Corporate clients · 0.0 to unsetNov 17, 2017 to Mar 30, 2018
- Individual clients · 183 to 277Nov 17, 2017 to Mar 30, 2018
- Pension plan clients · 0.0 to unsetNov 17, 2017 to Mar 30, 2018
- Pooled vehicle clients · 0.0 to unsetNov 17, 2017 to Mar 30, 2018
- Financial planning clients · 1-10 to 0Nov 17, 2017 to Mar 30, 2018
- Discretionary RAUM · $23.0M to $26.2MNov 17, 2017 to Mar 30, 2018
- Individual RAUM · $16.6M to $26.2MNov 17, 2017 to Mar 30, 2018
- Pension RAUM · 0.0 to unsetNov 17, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · 0.0 to unsetNov 17, 2017 to Mar 30, 2018
- RAUM · $23.0M to $26.2MNov 17, 2017 to Mar 30, 2018
- Accounts · 1,060 to 274Feb 6, 2017 to Nov 17, 2017
- Charity clients · unset to 0.0Feb 6, 2017 to Nov 17, 2017
- Corporate clients · unset to 0.0Feb 6, 2017 to Nov 17, 2017
- Individual clients · unset to 183.0Feb 6, 2017 to Nov 17, 2017
- Pension plan clients · unset to 0.0Feb 6, 2017 to Nov 17, 2017
- Pooled vehicle clients · unset to 0.0Feb 6, 2017 to Nov 17, 2017
- Other offices · unset to 0.0Feb 6, 2017 to Nov 17, 2017
- Discretionary RAUM · $43.7M to $23.0MFeb 6, 2017 to Nov 17, 2017
- Individual RAUM · unset to 16626812.0Feb 6, 2017 to Nov 17, 2017
- Pension RAUM · unset to 0.0Feb 6, 2017 to Nov 17, 2017
- Pooled vehicle RAUM · unset to 0.0Feb 6, 2017 to Nov 17, 2017
- RAUM · $43.7M to $23.0MFeb 6, 2017 to Nov 17, 2017
- Accounts · 500 to 1,060Mar 29, 2016 to Feb 6, 2017
- Advisory employees · 2 to 1Mar 29, 2016 to Feb 6, 2017
- BD registered reps · 2 to 1Mar 29, 2016 to Feb 6, 2017
- Employees · 2 to 1Mar 29, 2016 to Feb 6, 2017
- State-registered IARs · 2 to 1Mar 29, 2016 to Feb 6, 2017
- Discretionary RAUM · $85.0M to $43.7MMar 29, 2016 to Feb 6, 2017
- Non-discretionary RAUM · $20.0M to $0Mar 29, 2016 to Feb 6, 2017
- RAUM · $105M to $43.7MMar 29, 2016 to Feb 6, 2017
- Accounts · 754 to 500Jul 6, 2015 to Mar 29, 2016
- Employees · 4 to 2Jul 6, 2015 to Mar 29, 2016
- Discretionary RAUM · $39.0M to $85.0MJul 6, 2015 to Mar 29, 2016
- Non-discretionary RAUM · $0 to $20.0MJul 6, 2015 to Mar 29, 2016
- RAUM · $39.0M to $105MJul 6, 2015 to Mar 29, 2016
- Accounts · 500 to 754Feb 12, 2015 to Apr 30, 2015
- Discretionary RAUM · $48.0M to $39.0MFeb 12, 2015 to Apr 30, 2015
- RAUM · $48.0M to $39.0MFeb 12, 2015 to Apr 30, 2015
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