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
Q••••• O•• A•••••••
Legal name C••• S••••••• M••••••••• L••
Latest filing Nov 23, 2021
First filing on the tape Jan 13, 2012 · 28 filings
RAUM
$578M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$424M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$578M as of Mar 29, 2021
Mar 29, 2012$129M then
HNW client RAUM$399M as of Mar 29, 2021
Mar 29, 2018$252M then
State-registered IARs (5.B.3)7 as of Mar 29, 2021
Mar 29, 20120 then
Employees (5.A)7 as of Mar 29, 2021
Mar 28, 20139 then
Private funds: no history
RAUM +15% over the last fiscal year+0.2% a year over threeIARs 8 to 6
Practice profile
derived from the filing of Nov 23, 2021; every figure names its basis
- RAUM per advisor
- $96.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $103M, 14 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$399M69%
- Corporations and businesses$154M27%
- Individuals$25.0M4.3%
- Individual clients
- 67reported
- HNW clients
- 116reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 451reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $103M for 14 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- B•••••• R•••••• P••••••• to M•• C•••••• M••••••••• L••Dec 15, 2021 · RIA to RIA
- B••• D•••• M•• to M•• C•••••• M••••••••• L••Dec 15, 2021 · RIA to RIA
- K•••• J•••• R•••• to M•• C•••••• M••••••••• L••Dec 15, 2021 · RIA to RIA
- L•••• T•••••• E•••• to M•• C•••••• M••••••••• L••Dec 15, 2021 · RIA to RIA
- M•••••• V• S••••• to M•• C•••••• M••••••••• L••Dec 15, 2021 · RIA to RIA
- K•••••• N• L•••• to C••••• F••••• O••••••• L••Jan 17, 2020 · RIA to RIA
- S•••• M•••••••• A••••• to C•••••• L••Apr 11, 2019 · RIA to RIA
- P•••• L•••••• J•••••••• to C••••• F••••• O••••••• L••Oct 5, 2015 · Other
- S•••••• E••••• W••••• to W•••• F•••• A•••••••Mar 18, 2014 · Other
- R••••• B•••• C••••• to A•••••• A••••••• S•••••••Jan 22, 2010 · Other
Joined, latest
- K•••• J•••• R•••• from S••••••• C•••••• M••••••••• L••Sep 5, 2019 · Other
- M•••••• V• S••••• from M•••••• P•••••••Aug 13, 2013 · Other
- S•••••• E••••• W••••• from C•••••• G••••••• W••••• M••••••••• L••Sep 3, 2009 · Other
- B••• D•••• M•• from C•••••• G••••••• W••••• M••••••••• L••Sep 3, 2009 · Other
- R••••• B•••• C••••• from C•••••• G••••••• W••••• M••••••••• L••Sep 3, 2009 · Other
- L•••• T•••••• E•••• from C•••••• G••••••• W••••• M••••••••• L••Sep 3, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for M•• C•••••• M••••••••• L••Dec 15, 2021 · C••••••••, Nc · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• L••••• T•••••• · Director Of Client Servicecontrolsince 03/2014 · owns less than 5%
- E••••••• D••• H••••• · Membercontrolsince 02/2011 · owns 50% to 75% of K•••••• L••
- E••••• L••••• T•••••• · Membercontrolsince 05/2009 · owns 25% to 50% of C•••••••• A•••• M••••••••• G•••• L••
- J••••• W•••••• M••••• · Membercontrolsince 02/2011 · owns 50% to 75% of K•••••• L••
- M••• B•••• D•••• · Membercontrolsince 05/2009 · owns 25% to 50% of C•••••••• A•••• M••••••••• G•••• L••
- R•••••• T••••••• M••• · Membercontrolsince 06/2008 · owns 25% to 50% of S••••••• G••••• L••
- S••••••••• E•••• F•••• · Membercontrolsince 06/2008 · owns 25% to 50% of S••••••• G••••• L••
- Z••••• S••••••• J•••••• · Membercontrolsince 06/2008 · owns 25% to 50% of S••••••• G••••• L••
- P•••••••• B••••••• R•••••• · Chief Compliance Officer / Director Of Investment Operationssince 11/2021 · owns less than 5%
- T•••• E•••• M•••••••• · Membersince 09/2015 · owns 10% to 25%
Entity owners
- C••• S•••••••• L•• · Memberdirect · owns 50% to 75%
- C•••••••• A•••• M••••••••• G•••• L•• · Memberdirect · owns 10% to 25%
- S••••••• G••••• L•• · Managing Memberindirect · owns F of C••• S•••••••• L••
- K•••••• L•• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Mar 29, 2021 to Nov 23, 2021
- Employees · 7 to 6Mar 29, 2021 to Nov 23, 2021
- State-registered IARs · 7 to 6Mar 29, 2021 to Nov 23, 2021
- Accounts · 465 to 451Sep 30, 2020 to Mar 29, 2021
- Advisory employees · 8 to 7Sep 30, 2020 to Mar 29, 2021
- HNW clients · 96 to 116Sep 30, 2020 to Mar 29, 2021
- Individual clients · 70 to 67Sep 30, 2020 to Mar 29, 2021
- Assets in custody · $42.4M to $103MSep 30, 2020 to Mar 29, 2021
- Employees · 8 to 7Sep 30, 2020 to Mar 29, 2021
- Financial planning clients · 26-50 to 0Sep 30, 2020 to Mar 29, 2021
- State-registered IARs · 8 to 7Sep 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $504M to $578MSep 30, 2020 to Mar 29, 2021
- HNW RAUM · $251M to $399MSep 30, 2020 to Mar 29, 2021
- Individual RAUM · $25.4M to $25.0MSep 30, 2020 to Mar 29, 2021
- RAUM · $504M to $578MSep 30, 2020 to Mar 29, 2021
- Accounts · 494 to 465Mar 29, 2019 to Mar 30, 2020
- Corporate clients · 9 to 8Mar 29, 2019 to Mar 30, 2020
- HNW clients · 98 to 96Mar 29, 2019 to Mar 30, 2020
- Individual clients · 81 to 70Mar 29, 2019 to Mar 30, 2020
- Assets in custody · $16.4M to $42.4MMar 29, 2019 to Mar 30, 2020
- Employees · 10 to 8Mar 29, 2019 to Mar 30, 2020
- Financial planning clients · 51-100 to 26-50Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $506M to $504MMar 29, 2019 to Mar 30, 2020
- HNW RAUM · $204M to $251MMar 29, 2019 to Mar 30, 2020
- Individual RAUM · $24.8M to $25.4MMar 29, 2019 to Mar 30, 2020
- Pension RAUM · 196587.0 to unsetMar 29, 2019 to Mar 30, 2020
- RAUM · $506M to $504MMar 29, 2019 to Mar 30, 2020
- Accounts · 687 to 494Sep 10, 2018 to Mar 29, 2019
- Advisory employees · 10 to 8Sep 10, 2018 to Mar 29, 2019
- Corporate clients · 8 to 9Sep 10, 2018 to Mar 29, 2019
- HNW clients · 119 to 98Sep 10, 2018 to Mar 29, 2019
- Individual clients · 111 to 81Sep 10, 2018 to Mar 29, 2019
- Assets in custody · $38.4M to $16.4MSep 10, 2018 to Mar 29, 2019
- Employees · 12 to 10Sep 10, 2018 to Mar 29, 2019
- Financial planning clients · 1-10 to 51-100Sep 10, 2018 to Mar 29, 2019
- State-registered IARs · 10 to 8Sep 10, 2018 to Mar 29, 2019
- Discretionary RAUM · $565M to $506MSep 10, 2018 to Mar 29, 2019
- HNW RAUM · $252M to $204MSep 10, 2018 to Mar 29, 2019
- Individual RAUM · $32.2M to $24.8MSep 10, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $8.7M to $0Sep 10, 2018 to Mar 29, 2019
Signals
2 dated events
- Malone Wesley Jones (Member) appeared on Schedule A of Q••••• O•• A•••••••Mar 29, 2019 · Control person joined · fact
- Hunter Don Edwards (Member) appeared on Schedule A of Q••••• O•• A•••••••Mar 29, 2019 · Control person joined · 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