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
A•••••••• F••• A•••••••• I•••
Latest filing Mar 27, 2017
First filing on the tape Mar 30, 2012 · 8 filings
RAUM
$2.4M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$2.4M as of Mar 27, 2017
Mar 30, 2012$778,605 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2017
Mar 30, 20120 then
Employees (5.A)1 as of Mar 27, 2017
Mar 27, 20132 then
Private funds: no history
RAUM +1.2% over the last fiscal year+22% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 27, 2017; 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
- $2.4MderivedRAUM 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
- +1.2%derivedbetween 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
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
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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•••••• F••• to J••• C• F•••• D•• E•••••••• P•••••••• M•••••••••Dec 31, 2017 · Other
- J••• C•••••• F••• to J••• C• F•••• D•• E•••••••• P•••••••• M•••••••••Dec 31, 2011 · Other
Joined, latest
- J••• C•••••• F••• from J••• C• F•••• D•• E•••••••• P•••••••• M•••••••••Apr 2, 2012 · Other
- J••• C•••••• F••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jun 24, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• J•••• C•••••• · Owner & Chief Compliance Officercontrolsince 07/2009 · owns 75% or more
Related persons
Schedule D 7.A
- J••• C• F•••• D•• E•••••••• P•••••••• M•••••••••investment adviseryRAUM $7.7M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to 0Mar 23, 2016 to Mar 27, 2017
- State-registered IARs · 1 to 0Mar 23, 2016 to Mar 27, 2017
- Discretionary RAUM · $2.4M to $2.4MMar 23, 2016 to Mar 27, 2017
- RAUM · $2.4M to $2.4MMar 23, 2016 to Mar 27, 2017
- Discretionary RAUM · $2.0M to $2.4MMar 10, 2015 to Mar 23, 2016
- RAUM · $2.0M to $2.4MMar 10, 2015 to Mar 23, 2016
- Discretionary RAUM · $1.3M to $2.0MMar 31, 2014 to Mar 10, 2015
- RAUM · $1.3M to $2.0MMar 31, 2014 to Mar 10, 2015
- Employees · 2 to 1Mar 27, 2013 to Mar 31, 2014
- Discretionary RAUM · $1.1M to $1.3MMar 27, 2013 to Mar 31, 2014
- RAUM · $1.1M to $1.3MMar 27, 2013 to Mar 31, 2014
- Advisory employees · unset to 1.0Oct 22, 2012 to Mar 27, 2013
- Employees · unset to 2.0Oct 22, 2012 to Mar 27, 2013
- Insurance-licensed employees · 1 to 0Oct 22, 2012 to Mar 27, 2013
- State-registered IARs · 0 to 1Oct 22, 2012 to Mar 27, 2013
- Discretionary RAUM · $778,605 to $1.1MOct 22, 2012 to Mar 27, 2013
- RAUM · $778,605 to $1.1MOct 22, 2012 to Mar 27, 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