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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
R••••••• I••••••••• M••••••••• P••• L•••
Latest filing Mar 3, 2015
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$90.8M
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
13
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$90.8M as of Mar 3, 2015
Mar 30, 2012$162M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 3, 2015
Mar 19, 20130 then
Employees (5.A)13 as of Mar 3, 2015
Mar 19, 201316 then
Private funds: no history
RAUM -9.9% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 2015; 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
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 29reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• A•••• · Executive Directorcontrolsince 09/2003 · owns 75% or more
- C••••• A• L• · Compliance Executive And Chief Compliance Officercontrolsince 07/2010 · owns less than 5%
- L••• K•• F••• · Manager, Fund Administration, Directorcontrolsince 01/2005 · owns less than 5%
- S•••• H•••• H••• · Head Of Investment Research, Directorcontrolsince 05/2009 · owns less than 5%
- A••• P•• L••• · Shareholdersince 02/2011 · owns less than 5%
- C•••• S••• C••• · Shareholdersince 02/2011 · owns less than 5%
- C•••• S•••• L•• · Shareholdersince 02/2011 · owns 5% to 10%
- H•• D••• J••• · Shareholdersince 02/2011 · owns less than 5%
- H•• D••• M••• · Shareholdersince 02/2011 · owns less than 5%
- K••• C••• C••••• · Shareholdersince 02/2011 · owns 5% to 10%
- W•• E• L• · Shareholdersince 02/2011 · owns less than 5%
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 · 28 to 29Mar 31, 2014 to Mar 3, 2015
- Discretionary RAUM · $101M to $90.8MMar 31, 2014 to Mar 3, 2015
- RAUM · $101M to $90.8MMar 31, 2014 to Mar 3, 2015
- Employees · 16 to 13Mar 19, 2013 to Mar 31, 2014
- Discretionary RAUM · $130M to $101MMar 19, 2013 to Mar 31, 2014
- RAUM · $130M to $101MMar 19, 2013 to Mar 31, 2014
- Accounts · 29 to 28Mar 30, 2012 to Mar 19, 2013
- Advisory employees · unset to 3.0Mar 30, 2012 to Mar 19, 2013
- Advisory activities · 2 to 3Mar 30, 2012 to Mar 19, 2013
- Employees · unset to 16.0Mar 30, 2012 to Mar 19, 2013
- State-registered IARs · unset to 0.0Mar 30, 2012 to Mar 19, 2013
- Discretionary RAUM · $162M to $130MMar 30, 2012 to Mar 19, 2013
- RAUM · $162M to $130MMar 30, 2012 to Mar 19, 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