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

Harbinger Asset Management, LLC

Former SEC-registered adviserRiverside, CaliforniaCRD 146811SEC 801-69393IAPD
Latest filing Sep 24, 2012
First filing on the tape Dec 19, 2011 · 9 filings
RAUM
$19.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$19.2M as of Sep 24, 2012
Dec 19, 2011$41.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 24, 2012
Dec 19, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 24, 2012; 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
$65,899derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
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
n/areported
Charitable clients
n/areported
Accounts
291reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Thomas Christopher Tolmacs · Member & Chief Compliance Officercontrol
      since 03/2008 · owns 10% to 25%
    • Darryl Scott Tietz · Presidentcontrol
      since 06/1993 · owns 50% to 75% of Partners Advantage Insurance Services, LLC
    Entity owners
    • Partners Advantage Insurance Services, LLC · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • Partners Advantage Insurance Services LLC
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    • Portage, MI
    What changed
    consecutive filings, newest first
    • HQ city · COSTA MESA to RIVERSIDE
      Jun 26, 2012 to Aug 31, 2012
    • Commission compensation · true to false
      Mar 13, 2012 to Apr 18, 2012
    • Accounts · 536 to 291
      Dec 19, 2011 to Mar 1, 2012
    • Advisory activities · 5 to 4
      Dec 19, 2011 to Mar 1, 2012
    • Insurance-licensed employees · unset to 0.0
      Dec 19, 2011 to Mar 1, 2012
    • Non-discretionary RAUM · $41.3M to $19.2M
      Dec 19, 2011 to Mar 1, 2012
    • RAUM · $41.3M to $19.2M
      Dec 19, 2011 to Mar 1, 2012
    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