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
F••••• W••••• P•••••••
Legal name F••••• W••••• P•••••••• L••
Latest filing Aug 15, 2017
First filing on the tape Mar 21, 2012 · 13 filings
RAUM
$136M
reported, Item 5.F
Discretionary
100%
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$136M as of Mar 1, 2017
Mar 21, 2012$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 1, 2017
Mar 21, 20120 then
Employees (5.A)3 as of Mar 1, 2017
Feb 27, 20134 then
Private funds: no history
RAUM +2.4% over the last fiscal year+2.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 15, 2017; every figure names its basis
- RAUM per advisor
- $68.2MderivedRAUM 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
- $262,163derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.4%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, hourlyreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
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
- 520reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- J•••• R••••• P••••• to W•••• R•••• P••••• W••••• M••••••••• L••Mar 1, 2018 · Other
- T••••• H••• L• to A••••••••• L••Oct 1, 2015 · Other
Joined, latest
- J•••• R••••• P••••• from P•••••••• W••••• M•••••••••Aug 28, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• R•••••• L• · Chief Compliance Officercontrolsince 11/2008 · owns less than 5%
- P•••••• J•••• · Presidentcontrolsince 06/2008 · 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 · 205 to 520Oct 12, 2016 to Mar 1, 2017
- Discretionary RAUM · $133M to $136MOct 12, 2016 to Mar 1, 2017
- RAUM · $133M to $136MOct 12, 2016 to Mar 1, 2017
- Accounts · 501 to 205Sep 9, 2015 to Mar 9, 2016
- Discretionary RAUM · $128M to $133MSep 9, 2015 to Mar 9, 2016
- RAUM · $128M to $133MSep 9, 2015 to Mar 9, 2016
- Advisory employees · 3 to 2Feb 13, 2015 to Sep 9, 2015
- Employees · 4 to 3Feb 13, 2015 to Sep 9, 2015
- State-registered IARs · 3 to 2Feb 13, 2015 to Sep 9, 2015
- Accounts · 478 to 501Aug 21, 2014 to Feb 13, 2015
- Employees · 3 to 4Aug 21, 2014 to Feb 13, 2015
- Discretionary RAUM · $126M to $128MAug 21, 2014 to Feb 13, 2015
- RAUM · $126M to $128MAug 21, 2014 to Feb 13, 2015
- Advisory employees · 4 to 3Mar 28, 2014 to Aug 7, 2014
- Employees · 4 to 3Mar 28, 2014 to Aug 7, 2014
- State-registered IARs · 4 to 3Mar 28, 2014 to Aug 7, 2014
- Accounts · 465 to 478Feb 27, 2013 to Mar 28, 2014
- Discretionary RAUM · $119M to $126MFeb 27, 2013 to Mar 28, 2014
- RAUM · $119M to $126MFeb 27, 2013 to Mar 28, 2014
- Accounts · 400 to 465Mar 21, 2012 to Feb 27, 2013
- Advisory employees · unset to 4.0Mar 21, 2012 to Feb 27, 2013
- Employees · unset to 4.0Mar 21, 2012 to Feb 27, 2013
- State-registered IARs · 0 to 4Mar 21, 2012 to Feb 27, 2013
- Discretionary RAUM · $0 to $119MMar 21, 2012 to Feb 27, 2013
- Non-discretionary RAUM · $110M to $0Mar 21, 2012 to Feb 27, 2013
- RAUM · $110M to $119MMar 21, 2012 to Feb 27, 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