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

B••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserB•••••••••, New YorkCRD 151755SEC 801-70934IAPD
Latest filing Apr 28, 2014
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$81.3M
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
8
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$7.5M gross assets
History
10 filings and snapshots on the tape
RAUM$81.3M as of Mar 28, 2014
Mar 29, 2012$67.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 29, 20120 then
Employees (5.A)8 as of Mar 28, 2014
Mar 28, 20138 then
Private funds1 as of Mar 28, 2014
Mar 29, 20123 then
RAUM +21% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 2014; 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
$20.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$7.5M, 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)
  • 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
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
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$7.5M for 1 clientsreported
Compensation
% of AUM, performancereported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••••••• M••••••••• F••• L••no longer reportedHedge Fund$24.3M34Mar 29, 2012
      B••••••••• L••• E••••• F••• L••no longer reportedHedge Fund$9.5M22Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L••• K••••••• E•••• · Managing Membercontrol
        since 09/2006 · owns 50% to 75%
      • D••••• B••••• T•••••• · Chief Marketing Officer
        since 10/2012 · owns less than 5%
      • L••• S•••• · Chief Operating Officer
        since 10/2012 · owns less than 5%
      • M•••••• C••••••• D••••• · Member
        since 01/2009 · owns 10% to 25%
      • P••••••••• P••••• •••• · Member
        since 09/2006 · owns 5% to 10%
      • S••••••••• K•••••• · Chief Compliance Officer
        since 11/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Conway, AR
      What changed
      consecutive filings, newest first
      • Assets in custody · $7.4M to $7.5M
        Dec 17, 2013 to Mar 28, 2014
      • Discretionary RAUM · $67.1M to $81.3M
        Dec 17, 2013 to Mar 28, 2014
      • RAUM · $67.1M to $81.3M
        Dec 17, 2013 to Mar 28, 2014
      • Accounts · 5 to 4
        Nov 14, 2012 to Mar 28, 2013
      • Advisory activities · 4 to 3
        Nov 14, 2012 to Mar 28, 2013
      • Assets in custody · $15.4M to $7.4M
        Nov 14, 2012 to Mar 28, 2013
      • Private funds · 2 to 1
        Nov 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $61.0M to $67.1M
        Nov 14, 2012 to Mar 28, 2013
      • RAUM · $61.0M to $67.1M
        Nov 14, 2012 to Mar 28, 2013
      • Advisory employees · unset to 4.0
        Oct 10, 2012 to Nov 14, 2012
      • BD registered reps · 0 to 1
        Oct 10, 2012 to Nov 14, 2012
      • Employees · unset to 8.0
        Oct 10, 2012 to Nov 14, 2012
      • Advisory activities · 3 to 4
        Apr 4, 2012 to Jul 6, 2012
      • Assets in custody · $39.3M to $15.4M
        Apr 4, 2012 to Jul 6, 2012
      • Private funds · 3 to 2
        Apr 4, 2012 to Jul 6, 2012
      • Discretionary RAUM · $67.3M to $61.0M
        Apr 4, 2012 to Jul 6, 2012
      • RAUM · $67.3M to $61.0M
        Apr 4, 2012 to Jul 6, 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