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
L••••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2015
First filing on the tape Mar 28, 2012 · 14 filings
RAUM
$265M
reported, Item 5.F
Discretionary
32%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$265M as of Mar 27, 2015
Mar 28, 2012$182M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2015
Mar 28, 20120 then
Employees (5.A)2 as of Mar 27, 2015
Mar 23, 20136 then
Private funds: no history
RAUM +8.3% over the last fiscal year+13% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Mar 27, 2015; every figure names its basis
- RAUM per advisor
- $133MderivedRAUM 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
- $417,629derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 32%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%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 individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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
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
- 635reported
- Financial planning clients
- 11-25reported
- 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
- S••• M•••••• S••••• to P••• I••••••••• A•••••••• I•••Mar 30, 2016 · Other
- C•••••••• M•••• W••••• to P••• I••••••••• A•••••••• I•••Mar 30, 2016 · Other
- C•••• E••••• S••••• to P••• I••••••••• A•••••••• I•••Jan 12, 2015 · Other
- P••• L••••••• M••••• to P••• I••••••••• A•••••••• I•••Dec 12, 2014 · Other
- M••• F••••••• Z•••• to P••• I••••••••• A•••••••• I•••Dec 12, 2014 · Other
- P•••• J••••• P••••• to L••••••• F•••••••• A•••••••• L••Aug 30, 2011 · Other
Joined, latest
- C•••• E••••• S••••• from C•• I••••••••• M••••••••• • C••••••••• L••Feb 13, 2014 · Other
- M••• F••••••• Z•••• from V••• F•••••••• A•••••••• I•••Jan 11, 2010 · Other
- P••• L••••••• M••••• from V••• F•••••••• A•••••••• I•••Nov 3, 2009 · Other
- P•••• J••••• P••••• from V••• F•••••••• A•••••••• I•••Jan 9, 2009 · Other
- C•••••••• M•••• W••••• from V••• F•••••••• A•••••••• I•••Jun 25, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••• I••••••••• A•••••••• I•••Mar 30, 2016 · Wilmington, De
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• C••••••••• M•••• · Managing Directorcontrolsince 05/2008 · owns 75% or more
- S•••••• S•••• M•••••• · Chief Compliance Officersince 12/2010 · owns less than 5%
Entity owners
- F•••• S•••••• B••• O• P••••••• · Direct Ownerdirect · owns 75% or more
- F•• B••••••••• C•••• · Owner Of F•••• S•••••• B••• O• P•••••••indirect · owns 75% or more of F•••• S•••••• B••• O• P•••••••
Related persons
Schedule D 7.A
- P••• I••••••••• A•••••••• I•••investment adviseryRAUM $574M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 454 to 635Jan 12, 2015 to Mar 27, 2015
- Advisory employees · 4 to 2Jan 12, 2015 to Mar 27, 2015
- Employees · 4 to 2Jan 12, 2015 to Mar 27, 2015
- Insurance-licensed employees · 0 to 2Jan 12, 2015 to Mar 27, 2015
- State-registered IARs · 4 to 2Jan 12, 2015 to Mar 27, 2015
- Discretionary RAUM · $70.8M to $85.0MJan 12, 2015 to Mar 27, 2015
- Non-discretionary RAUM · $174M to $180MJan 12, 2015 to Mar 27, 2015
- RAUM · $245M to $265MJan 12, 2015 to Mar 27, 2015
- Related broker-dealer · false to trueJan 12, 2015 to Mar 27, 2015
- Related adviser · false to trueMar 27, 2014 to Jan 12, 2015
- Accounts · 367 to 454Jan 9, 2014 to Mar 27, 2014
- Advisory activities · 6 to 7Jan 9, 2014 to Mar 27, 2014
- Financial planning clients · 0 to 11-25Jan 9, 2014 to Mar 27, 2014
- Discretionary RAUM · $89.3M to $70.8MJan 9, 2014 to Mar 27, 2014
- Non-discretionary RAUM · $106M to $174MJan 9, 2014 to Mar 27, 2014
- RAUM · $196M to $245MJan 9, 2014 to Mar 27, 2014
- Advisory employees · 6 to 4Apr 8, 2013 to Sep 6, 2013
- Employees · 6 to 4Apr 8, 2013 to Sep 6, 2013
- State-registered IARs · 6 to 4Apr 8, 2013 to Sep 6, 2013
- Accounts · 347 to 367Feb 27, 2013 to Mar 23, 2013
- Discretionary RAUM · $182M to $89.3MFeb 27, 2013 to Mar 23, 2013
- Non-discretionary RAUM · $0 to $106MFeb 27, 2013 to Mar 23, 2013
- RAUM · $182M to $196MFeb 27, 2013 to Mar 23, 2013
- Advisory employees · unset to 6.0Sep 11, 2012 to Feb 27, 2013
- BD registered reps · unset to 1.0Sep 11, 2012 to Feb 27, 2013
- Employees · unset to 6.0Sep 11, 2012 to Feb 27, 2013
- State-registered IARs · 0 to 6Sep 11, 2012 to Feb 27, 2013
- Advisory activities · 5 to 6Apr 9, 2012 to Aug 24, 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