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
E••••••• P•••••••• L••
Latest filing Apr 28, 2017
First filing on the tape Mar 22, 2012 · 11 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$6.0M as of Mar 4, 2014
Mar 19, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 30, 2017
Mar 19, 20132 then
Employees (5.A)2 as of Jan 30, 2017
Mar 19, 20135 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Apr 28, 2017; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- K••••••• P•••• M•••• to A•••••• G••••• I•••••••• U••• L••Sep 22, 2011 · Other
- M••••• S•••••• T•••••• to C• U•• L••Feb 22, 2010 · Other
Joined, latest
- M••••• S•••••• T•••••• from U••• I••••••••• S••••••• C••••••Oct 10, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• M•••• A•••• · Membercontrolsince 04/2008 · owns 75% or more
- F••• J••••• R•••• · Chief Compliance Officercontrolsince 02/2017 · owns less than 5%
- S••••• G••••••• A••••• · Chief Financial Officercontrolsince 11/2016 · owns less than 5%
Related persons
Schedule D 7.A
- E••••••• S••••••••• L••broker-dealery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 2 to 1Feb 21, 2017 to Apr 28, 2017
- State-registered IARs · 3 to 2Feb 21, 2017 to Apr 28, 2017
- BD registered reps · 2 to 3Jan 30, 2017 to Feb 21, 2017
- Employees · 2 to 3Jan 30, 2017 to Feb 21, 2017
- State-registered IARs · 2 to 3Jan 30, 2017 to Feb 21, 2017
- BD registered reps · 3 to 2Dec 6, 2016 to Jan 30, 2017
- Employees · 3 to 2Dec 6, 2016 to Jan 30, 2017
- State-registered IARs · 3 to 2Dec 6, 2016 to Jan 30, 2017
- Accounts · 1.0 to unsetMar 4, 2014 to Feb 2, 2015
- Discretionary RAUM · 0.0 to unsetMar 4, 2014 to Feb 2, 2015
- Non-discretionary RAUM · 6000000.0 to unsetMar 4, 2014 to Feb 2, 2015
- RAUM · 6000000.0 to unsetMar 4, 2014 to Feb 2, 2015
- Accounts · 0 to 1Mar 19, 2013 to Mar 4, 2014
- BD registered reps · 5 to 3Mar 19, 2013 to Mar 4, 2014
- Employees · 5 to 3Mar 19, 2013 to Mar 4, 2014
- State-registered IARs · 2 to 3Mar 19, 2013 to Mar 4, 2014
- Non-discretionary RAUM · $0 to $6.0MMar 19, 2013 to Mar 4, 2014
- RAUM · $0 to $6.0MMar 19, 2013 to Mar 4, 2014
- Accounts · unset to 0.0Dec 5, 2012 to Mar 19, 2013
- State-registered IARs · 3 to 2Dec 5, 2012 to Mar 19, 2013
- Discretionary RAUM · unset to 0.0Dec 5, 2012 to Mar 19, 2013
- Non-discretionary RAUM · unset to 0.0Dec 5, 2012 to Mar 19, 2013
- RAUM · unset to 0.0Dec 5, 2012 to Mar 19, 2013
- Advisory employees · unset to 0.0Mar 22, 2012 to Dec 5, 2012
- BD registered reps · unset to 5.0Mar 22, 2012 to Dec 5, 2012
- Employees · unset to 5.0Mar 22, 2012 to Dec 5, 2012
- State-registered IARs · unset to 3.0Mar 22, 2012 to Dec 5, 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