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.

Former SEC-registered adviser

Continuity Partners Group, LLC

Former SEC-registered adviserFairfield, IowaCRD 151381SEC 801-70784IAPD
Latest filing Feb 22, 2017
First filing on the tape Mar 30, 2012 · 28 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 22, 2017
Mar 30, 20120 then
Employees (5.A)0 as of Feb 22, 2017
Mar 22, 20130 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 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
  • is a broker-dealer (6.A.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
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Monte Clark Ferguson · Directorcontrol
        since 07/2016 · owns less than 5%
      • David Michael Nelson · Directorcontrol
        since 07/2015 · owns less than 5%
      • Gary Carl Sanson · Directorcontrol
        since 07/2013 · owns less than 5%
      • Eric Schwartz · Ceo & Directorcontrol
        since 01/2010 · owns less than 5%
      • James Daniel Sullivan · Directorcontrol
        since 11/2009 · owns less than 5%
      • Jeffrey Francis Vivacqua · President/Directorcontrol
        since 12/2015 · owns less than 5%
      • Amy Lynn Webber · Directorcontrol
        since 12/2015 · owns less than 5%
      • Shane Edward Westhoelter · Directorcontrol
        since 07/2014 · owns less than 5%
      • Eric Schwartz · Trusteecontrol
        since 06/2003 · owns F of Schwartz Family Trust
      • Eric Schwartz · Executivecontrol
        since 12/2014 · owns F of Schwartz Family Foundation
      • Thomas John Anderson · Chief Compliance Officer
        since 01/2011 · owns less than 5%
      • Richard Charles Boyles · Cfo, Finop
        since 04/2016 · owns less than 5%
      • Seth Aaron Miller · Director
        since 06/2016 · owns less than 5%
      • Kyle Russell Selberg · Shareholder
        since 01/2010 · owns less than 5%
      Entity owners
      • Continuity Management Group, LLC · Shareholder/Holding Company/Managing Member
        direct · owns 10% to 25%
      • Eric Schwartz Revocable Trust · Shareholder
        direct · owns 50% to 75%
      • Cambridge Investment Group, Inc. · Shareholder
        indirect · owns 25% to 50% of Continuity Management Group LLC
      • Schwartz Family Trust · Shareholder
        indirect · owns 75% or more of Cambridge Investment Group, Inc.
      • Schwartz Family Foundation · Shareholder
        indirect · owns F of Cambridge Investment Group, Inc.
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · unset to 0.0
        Mar 23, 2015 to Mar 27, 2015
      • Related insurance company · true to false
        Jan 29, 2014 to Mar 28, 2014
      • Related insurance company · false to true
        Dec 5, 2012 to Mar 22, 2013
      • BD registered reps · unset to 0.0
        Aug 30, 2012 to Dec 5, 2012
      • Employees · unset to 0.0
        Aug 30, 2012 to Dec 5, 2012
      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