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

Park Ridge Asset Management

Former SEC-registered adviserRaleigh, North CarolinaCRD 147827SEC 801-113538IAPD
Legal name Park Ridge Asset Management LLC
Latest filing Jan 25, 2022
First filing on the tape Jun 4, 2018 · 7 filings
RAUM
$191M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
94%
$180M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$191M as of Jan 25, 2022
Jan 14, 2019$104M then
HNW client RAUM$151M as of Jan 25, 2022
Jan 14, 2019$68.6M then
State-registered IARs (5.B.3)3 as of Jan 25, 2022
Jan 14, 20193 then
Employees (5.A)3 as of Jan 25, 2022
Jan 14, 20193 then
Private funds: no history
RAUM +20% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 25, 2022; every figure names its basis
RAUM per advisor
$63.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$369,865derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • 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
  • High-net-worth individuals$151M79%
  • Individuals$29.5M15%
  • Pension and profit-sharing plans$5.7M3.0%
  • Corporations and businesses$5.0M2.6%
Individual clients
112reported
HNW clients
112reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
516reported
Financial planning clients
1-10reported
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
Joined, 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
    • Michael David Arthur · Managing Partnercontrol
      since 07/2008 · owns 50% to 75%
    • Fitzhugh Keith Karlawish · Managing Partner And Ccocontrol
      since 12/2008 · owns 50% to 75%
    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
    • Pension RAUM · $4.6M to $5.7M
      Feb 3, 2021 to Jan 25, 2022
    • RAUM · $160M to $191M
      Feb 3, 2021 to Jan 25, 2022
    • Accounts · 479 to 516
      Feb 3, 2021 to Jan 25, 2022
    • HNW clients · 102 to 112
      Feb 3, 2021 to Jan 25, 2022
    • Individual clients · 109 to 112
      Feb 3, 2021 to Jan 25, 2022
    • Discretionary RAUM · $155M to $185M
      Feb 3, 2021 to Jan 25, 2022
    • HNW RAUM · $123M to $151M
      Feb 3, 2021 to Jan 25, 2022
    • Individual RAUM · $28.2M to $29.5M
      Feb 3, 2021 to Jan 25, 2022
    • Non-discretionary RAUM · $4.6M to $5.7M
      Feb 3, 2021 to Jan 25, 2022
    • Accounts · 443 to 479
      May 4, 2020 to Feb 3, 2021
    • HNW clients · 81 to 102
      May 4, 2020 to Feb 3, 2021
    • Individual clients · 112 to 109
      May 4, 2020 to Feb 3, 2021
    • Discretionary RAUM · $129M to $155M
      May 4, 2020 to Feb 3, 2021
    • HNW RAUM · $98.5M to $123M
      May 4, 2020 to Feb 3, 2021
    • Individual RAUM · $27.4M to $28.2M
      May 4, 2020 to Feb 3, 2021
    • Non-discretionary RAUM · $5.2M to $4.6M
      May 4, 2020 to Feb 3, 2021
    • Pension RAUM · $5.2M to $4.6M
      May 4, 2020 to Feb 3, 2021
    • RAUM · $135M to $160M
      May 4, 2020 to Feb 3, 2021
    • Accounts · 396 to 443
      Jan 14, 2019 to Jan 20, 2020
    • HNW clients · 69 to 81
      Jan 14, 2019 to Jan 20, 2020
    • Individual clients · 106 to 112
      Jan 14, 2019 to Jan 20, 2020
    • Discretionary RAUM · $99.2M to $129M
      Jan 14, 2019 to Jan 20, 2020
    • HNW RAUM · $68.6M to $98.5M
      Jan 14, 2019 to Jan 20, 2020
    • Individual RAUM · $28.0M to $27.4M
      Jan 14, 2019 to Jan 20, 2020
    • Non-discretionary RAUM · $4.6M to $5.2M
      Jan 14, 2019 to Jan 20, 2020
    • Pension RAUM · $4.6M to $5.2M
      Jan 14, 2019 to Jan 20, 2020
    • RAUM · $104M to $135M
      Jan 14, 2019 to Jan 20, 2020
    • Accounts · 175 to 396
      Jul 9, 2018 to Jan 14, 2019
    • Individual clients · 100 to 106
      Jul 9, 2018 to Jan 14, 2019
    • Discretionary RAUM · $100M to $99.2M
      Jul 9, 2018 to Jan 14, 2019
    • HNW RAUM · $72.3M to $68.6M
      Jul 9, 2018 to Jan 14, 2019
    • Individual RAUM · $25.5M to $28.0M
      Jul 9, 2018 to Jan 14, 2019
    • Non-discretionary RAUM · $5.0M to $4.6M
      Jul 9, 2018 to Jan 14, 2019
    • Pension RAUM · $5.0M to $4.6M
      Jul 9, 2018 to Jan 14, 2019
    • RAUM · $105M to $104M
      Jul 9, 2018 to Jan 14, 2019
    Signals
    4 dated events
    • Katie Lamm Strother left Park Ridge Asset Management for Curi Capital (registered 2022-09-07)
      Sep 7, 2022 · Advisor changed firm · fact
    • 2 advisors left Park Ridge Asset Management (Raleigh, NC) for Curi Capital on the same day
      Sep 7, 2022 · Team lift-out · derived
    • David Michael Arthur left Park Ridge Asset Management for Curi Capital (registered 2022-09-07)
      Sep 7, 2022 · Advisor changed firm · fact
    • Park Ridge Asset Management filed its initial SEC registration (Form ADV)
      Jun 4, 2018 · First SEC registration · fact
    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