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
I•••••••• F•• W••••• A•••••••• I•••
Latest filing Mar 31, 2019
First filing on the tape Dec 22, 2011 · 49 filings
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$205M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
17
beyond the principal office
Private funds
1
$14.6M gross assets
History
49 filings and snapshots on the tape
RAUM$220M as of Mar 31, 2019
Mar 30, 2012$6.8M then
HNW client RAUM: $72.8M
State-registered IARs (5.B.3)0 as of Mar 31, 2019
Mar 28, 20132 then
Employees (5.A)0 as of Mar 31, 2019
Mar 28, 20132 then
Private funds: 1
RAUM n/a over the last fiscal year+88% a year over threeIARs 25 to 0offices 25 to 17
Practice profile
derived from the filing of Mar 31, 2019; 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
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $184,798derivedRAUM 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
- unknownderived18 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -100%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 pooled vehicles, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $14.6M, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$133M60%
- High-net-worth individuals$72.8M33%
- Pooled investment vehicles$14.6M6.6%
- Individual clients
- 947reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,190reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.6M for 1 clientsreported
- 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
- J•••• C• M•••••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- R•••••• C•••• B••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- G••••• H••••• H••••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- R•••••• L•• H••••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- T••• A••• C••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- C•••• E•••••••• M•••••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- R••••• L•• B••••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- P•••• S••••• W•••••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- V••••••• G•••••••• C••••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- D••••• W•••••• B••••••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- J•••• P•••••• D••••••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- B•••• W•••••• B•••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- R••••• S•••••• S•••••• to S•••••• I••••••••• L••Apr 30, 2019 · RIA to a state-registered adviser
- D•••• A•••• J•••• to T•• I••••••••Apr 30, 2019 · RIA to RIA
- N•••••••• J•••••• Y••••• to T•• I••••••••Apr 26, 2019 · RIA to RIA
Joined, latest
- T••• A••• C••• from A•••••••• D••••Dec 21, 2018 · Other
- B•••• W•••••• B•••• from S••••• M•••••••••May 25, 2017 · Other
- P•••• S••••• W•••••• from S••••• M•••••••••Mar 15, 2017 · Other
- D••••• M•• L••• from C•••••• W••••• M•••••••••Mar 15, 2017 · Other
- E•••••••• N•• L••• from S••••• M•••••••••Mar 2, 2017 · Other
- P••••• A•• J••••• from S••••• M•••••••••Feb 27, 2017 · Other
- N•••••••• J•••••• Y••••• from C•••••• W••••• M•••••••••Feb 9, 2017 · Other
- R•••••• C•••• B••• from C•••••• W••••• M•••••••••Feb 6, 2017 · Other
- R••••• S•••••• S•••••• from S••••• M•••••••••Jan 31, 2017 · Other
- R•••••• L•• H••••• from I••••••••• A••••••• C•••Jan 27, 2017 · Other
- C•••• E•••••••• M•••••• from S••••• M•••••••••Jan 27, 2017 · Other
- D••••• W•••••• B••••••• from S••••• M•••••••••Jan 27, 2017 · Other
- V••••••• G•••••••• C••••• from S••••• M•••••••••Jan 26, 2017 · Other
- J•• R••••• E••••••• from S••••• M•••••••••Jan 26, 2017 · Other
- J•••• P•••••• D••••••• from S••••• M•••••••••Jan 26, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 11 left for T•• I••••••••Apr 26, 2019 · Denver, Co · Firm absorbed
- 2 joined from C•••••• W••••• M•••••••••May 4, 2017 · San Jose, Ca
- 8 joined from S••••• M•••••••••Jan 25, 2017 · North Little Rock, Ar
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• G•••••• · Chief Compliance Officercontrolsince 10/2018 · owns less than 5%
- M•••••••• M••••••• D•••••• · Ownercontrolsince 09/2016 · owns 25% to 50% of I•••••••• F•• W••••• H•••••••• I•••
Entity owners
- I•••••••• F•• W••••• H•••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- I•••••••• F•• W••••• C••••••••• I•••investment advisernRAUM $396M
- T•• I••••••••investment advisernRAUM $1.4B
Advisers that list I•••••••• F•• W••••• A•••••••• I••• as a related person
- 288502 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 1,190Feb 1, 2019 to Mar 31, 2019
- Advisory employees · 25 to 0Feb 1, 2019 to Mar 31, 2019
- BD registered reps · 5 to 0Feb 1, 2019 to Mar 31, 2019
- HNW clients · unset to 39.0Feb 1, 2019 to Mar 31, 2019
- Individual clients · unset to 947.0Feb 1, 2019 to Mar 31, 2019
- Employees · 27 to 0Feb 1, 2019 to Mar 31, 2019
- Insurance-licensed employees · 1 to 0Feb 1, 2019 to Mar 31, 2019
- State-registered IARs · 25 to 0Feb 1, 2019 to Mar 31, 2019
- Other offices · 25 to 17Feb 1, 2019 to Mar 31, 2019
- Discretionary RAUM · $252M to $220MFeb 1, 2019 to Mar 31, 2019
- HNW RAUM · unset to 72777861.0Feb 1, 2019 to Mar 31, 2019
- Individual RAUM · unset to 132553161.0Feb 1, 2019 to Mar 31, 2019
- Pooled vehicle RAUM · $252M to $14.6MFeb 1, 2019 to Mar 31, 2019
- RAUM · $252M to $220MFeb 1, 2019 to Mar 31, 2019
- Assets in custody · $3.8M to $14.6MMar 31, 2019 to Mar 31, 2019
- HQ city · DALLAS to DENVERNov 14, 2018 to Feb 1, 2019
- HQ state · TX to CONov 14, 2018 to Feb 1, 2019
- Discretionary RAUM · $3.8M to $252MNov 14, 2018 to Feb 1, 2019
- Pooled vehicle RAUM · $3.8M to $252MNov 14, 2018 to Feb 1, 2019
- RAUM · $3.8M to $252MNov 14, 2018 to Feb 1, 2019
- Assets in custody · unset to 3815172.0Jun 8, 2018 to Jun 12, 2018
- Custody of client assets · false to trueJun 8, 2018 to Jun 12, 2018
- Accounts · unset to 1.0Mar 29, 2018 to Jun 8, 2018
- Advisory activities · 5 to 6Mar 29, 2018 to Jun 8, 2018
- Pooled vehicle clients · unset to 1.0Mar 29, 2018 to Jun 8, 2018
- Private funds · unset to 1Mar 29, 2018 to Jun 8, 2018
- Discretionary RAUM · unset to 3815172.0Mar 29, 2018 to Jun 8, 2018
- Non-discretionary RAUM · unset to 0.0Mar 29, 2018 to Jun 8, 2018
- Pooled vehicle RAUM · unset to 3815172.0Mar 29, 2018 to Jun 8, 2018
- RAUM · unset to 3815172.0Mar 29, 2018 to Jun 8, 2018
- Advisory employees · 33 to 25Feb 12, 2018 to Mar 29, 2018
- Employees · 35 to 27Feb 12, 2018 to Mar 29, 2018
- Insurance-licensed employees · 17 to 1Feb 12, 2018 to Mar 29, 2018
- State-registered IARs · 33 to 25Feb 12, 2018 to Mar 29, 2018
- Private funds · 1 to unsetFeb 12, 2018 to Mar 29, 2018
- Advisory activities · 4 to 5Sep 7, 2017 to Feb 12, 2018
- Financial planning clients · 1-10 to 11-25Sep 7, 2017 to Feb 12, 2018
- Other offices · unset to 25.0Sep 7, 2017 to Feb 12, 2018
- Private funds · unset to 1Sep 7, 2017 to Feb 12, 2018
- Accounts · 788.0 to unsetMar 9, 2017 to Mar 31, 2017
Signals
3 dated events
- I•••••••• F•• W••••• A•••••••• I••• reported 17 offices beyond its principal office, down from 25 (2019-02-01 to 2019-03-31)Mar 31, 2019 · Office count change · derived
- I•••••••• F•• W••••• A•••••••• I••• reported 0 state-registered advisory representatives, down from 25 (2019-02-01 to 2019-03-31)Mar 31, 2019 · Advisor headcount change · derived
- Malone Dewey Moore (Owner) no longer on Schedule A of I•••••••• F•• W••••• A•••••••• I••• (listed 2018-11-14, absent 2019-02-01)Feb 1, 2019 · Control person left · inference
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