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

C••••••• A••••••••• L••

Former SEC-registered adviserCRD 150658SEC 801-70477IAPD
Latest filing Feb 14, 2017
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$569M
reported, Item 5.F
Discretionary
0.0%
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$569M as of Feb 14, 2017
Mar 28, 2012$230M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 14, 2017
Mar 28, 20120 then
Employees (5.A)6 as of Feb 14, 2017
Feb 15, 20136 then
Private funds: no history
RAUM +15% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 14, 2017; every figure names its basis
RAUM per advisor
$190MderivedRAUM 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
$17.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%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, hourly, fixed feesreportedItem 5.E
Advisory activities
selection of other advisers, publications, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
32reported
Financial planning clients
0reported
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
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••• S••••• •••• · Chief Compliance Officercontrol
      since 06/2009 · owns 25% to 50%
    • T•••••• C•••• E••• · Title Membercontrol
      since 11/2008 · 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 · 29 to 32
      Mar 4, 2016 to Feb 14, 2017
    • Non-discretionary RAUM · $496M to $569M
      Mar 4, 2016 to Feb 14, 2017
    • RAUM · $496M to $569M
      Mar 4, 2016 to Feb 14, 2017
    • Accounts · 23 to 29
      Mar 19, 2015 to Mar 4, 2016
    • Non-discretionary RAUM · $395M to $496M
      Mar 19, 2015 to Mar 4, 2016
    • RAUM · $395M to $496M
      Mar 19, 2015 to Mar 4, 2016
    • Accounts · 28 to 23
      Feb 26, 2014 to Mar 19, 2015
    • Advisory employees · 2 to 3
      Feb 26, 2014 to Mar 19, 2015
    • State-registered IARs · 2 to 3
      Feb 26, 2014 to Mar 19, 2015
    • Non-discretionary RAUM · $341M to $395M
      Feb 26, 2014 to Mar 19, 2015
    • RAUM · $341M to $395M
      Feb 26, 2014 to Mar 19, 2015
    • Accounts · 16 to 28
      Feb 15, 2013 to Feb 26, 2014
    • Non-discretionary RAUM · $326M to $341M
      Feb 15, 2013 to Feb 26, 2014
    • RAUM · $326M to $341M
      Feb 15, 2013 to Feb 26, 2014
    • Accounts · 12 to 16
      Mar 28, 2012 to Feb 15, 2013
    • Advisory employees · unset to 2.0
      Mar 28, 2012 to Feb 15, 2013
    • Employees · unset to 6.0
      Mar 28, 2012 to Feb 15, 2013
    • State-registered IARs · 0 to 2
      Mar 28, 2012 to Feb 15, 2013
    • Non-discretionary RAUM · $230M to $326M
      Mar 28, 2012 to Feb 15, 2013
    • RAUM · $230M to $326M
      Mar 28, 2012 to Feb 15, 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