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
S•••• W••••• M••••••••• I•••
Latest filing Mar 21, 2019
First filing on the tape Mar 21, 2012 · 11 filings
RAUM
$235M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$235M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$235M as of Mar 21, 2019
Mar 21, 2012$173M then
HNW client RAUM$40.7M as of Mar 21, 2019
Mar 8, 2018$231M then
State-registered IARs (5.B.3)4 as of Mar 21, 2019
Mar 21, 20120 then
Employees (5.A)5 as of Mar 21, 2019
Feb 11, 20133 then
Private funds: no history
RAUM -14% over the last fiscal year-1.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 21, 2019; every figure names its basis
- RAUM per advisor
- $58.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $351,000derivedHNW RAUM over HNW clients
- Average account
- $264,270derivedRAUM 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
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$194M83%
- High-net-worth individuals$40.7M17%
- Individual clients
- 78reported
- HNW clients
- 116reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 888reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- M•••••• D•••• D•••• to L•• F•••••••• I•••Nov 6, 2019 · Other
- C••••••••• S••• C•• to A••••••• F••••••••• L•••Nov 6, 2019 · RIA to RIA
Joined, latest
- C••••••••• S••• C•• from F••••••• S••••••••• I•••Mar 5, 2014 · Other
- M•••••• D•••• D•••• from L•• F•••••••• I•••May 21, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• R•••••• J•• · President, Chief Compliance Officer, Sole Ownercontrolsince 04/2009 · 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 · 500 to 888Aug 20, 2018 to Mar 21, 2019
- HNW clients · 84 to 116Aug 20, 2018 to Mar 21, 2019
- Individual clients · 99 to 78Aug 20, 2018 to Mar 21, 2019
- Employees · 4 to 5Aug 20, 2018 to Mar 21, 2019
- HNW RAUM · $231M to $40.7MAug 20, 2018 to Mar 21, 2019
- Individual RAUM · $41.1M to $194MAug 20, 2018 to Mar 21, 2019
- Non-discretionary RAUM · $272M to $235MAug 20, 2018 to Mar 21, 2019
- RAUM · $272M to $235MAug 20, 2018 to Mar 21, 2019
- Accounts · 479 to 500Jul 19, 2017 to Mar 8, 2018
- Charity clients · unset to 0.0Jul 19, 2017 to Mar 8, 2018
- Corporate clients · unset to 0.0Jul 19, 2017 to Mar 8, 2018
- HNW clients · unset to 84.0Jul 19, 2017 to Mar 8, 2018
- Individual clients · unset to 99.0Jul 19, 2017 to Mar 8, 2018
- Pension plan clients · unset to 0.0Jul 19, 2017 to Mar 8, 2018
- Pooled vehicle clients · unset to 0.0Jul 19, 2017 to Mar 8, 2018
- Insurance-licensed employees · 1 to 0Jul 19, 2017 to Mar 8, 2018
- Other offices · unset to 0.0Jul 19, 2017 to Mar 8, 2018
- HNW RAUM · unset to 230623306.0Jul 19, 2017 to Mar 8, 2018
- Individual RAUM · unset to 41080791.0Jul 19, 2017 to Mar 8, 2018
- Non-discretionary RAUM · $248M to $272MJul 19, 2017 to Mar 8, 2018
- RAUM · $248M to $272MJul 19, 2017 to Mar 8, 2018
- Accounts · 567 to 479Mar 14, 2016 to Mar 1, 2017
- Non-discretionary RAUM · $244M to $248MMar 14, 2016 to Mar 1, 2017
- RAUM · $244M to $248MMar 14, 2016 to Mar 1, 2017
- Accounts · 524 to 567Mar 16, 2015 to Mar 14, 2016
- Non-discretionary RAUM · $262M to $244MMar 16, 2015 to Mar 14, 2016
- RAUM · $262M to $244MMar 16, 2015 to Mar 14, 2016
- Accounts · 491 to 524Mar 6, 2014 to Mar 16, 2015
- Non-discretionary RAUM · $257M to $262MMar 6, 2014 to Mar 16, 2015
- RAUM · $257M to $262MMar 6, 2014 to Mar 16, 2015
- Accounts · 477 to 491Feb 11, 2013 to Mar 6, 2014
- Advisory employees · 3 to 4Feb 11, 2013 to Mar 6, 2014
- Employees · 3 to 4Feb 11, 2013 to Mar 6, 2014
- State-registered IARs · 3 to 4Feb 11, 2013 to Mar 6, 2014
- Non-discretionary RAUM · $216M to $257MFeb 11, 2013 to Mar 6, 2014
- RAUM · $216M to $257MFeb 11, 2013 to Mar 6, 2014
- Accounts · 426 to 477Aug 24, 2012 to Feb 11, 2013
- Advisory employees · unset to 3.0Aug 24, 2012 to Feb 11, 2013
- Employees · unset to 3.0Aug 24, 2012 to Feb 11, 2013
- State-registered IARs · 0 to 3Aug 24, 2012 to Feb 11, 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