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••• B••••••• A•••• M••••••••• L••

Former SEC-registered adviserOrlando, FloridaCRD 151994SEC 801-70798IAPD
Latest filing Apr 30, 2015
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$1.6B
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
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$33.4M gross assets
History
9 filings and snapshots on the tape
RAUM$1.6B as of Mar 30, 2015
Mar 29, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 30, 2015
Apr 1, 20138 then
Employees (5.A)7 as of Mar 30, 2015
Apr 1, 20139 then
Private funds1 as of Mar 30, 2015
Mar 29, 20122 then
RAUM +3.3% over the last fiscal year-5.5% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Apr 30, 2015; every figure names its basis
RAUM per advisor
$233MderivedRAUM 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
$31.9MderivedRAUM 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
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+3.0%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$37.0M, 2 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
51reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$37.0M for 2 clientsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    C••• I••••••• M••••• F••• L•••Hedge Fund$45.8M9Mar 29, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• L•••••• L•••• · Chief Compliance Officercontrol
      since 03/2015 · owns less than 5%
    • W•••• M••••••• R•• · Presidentcontrol
      since 03/2015 · owns less than 5%
    Entity owners
    • B•• C•••••• M••••••••• L•• · Sole Member
      direct · owns 75% or more
    • N••••••••• M••••••••• C•••••• · Member
      indirect · owns 25% to 50% of B•• C•••••• M••••••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Knoxville, TN
    What changed
    consecutive filings, newest first
    • HQ city · NEW YORK to ORLANDO
      Mar 30, 2015 to Apr 30, 2015
    • HQ state · NY to FL
      Mar 30, 2015 to Apr 30, 2015
    • Discretionary RAUM · $1.6B to $1.6B
      Mar 30, 2015 to Apr 30, 2015
    • RAUM · $1.6B to $1.6B
      Mar 30, 2015 to Apr 30, 2015
    • Related adviser · false to true
      Mar 30, 2015 to Apr 30, 2015
    • Related bank · true to false
      Mar 30, 2015 to Apr 30, 2015
    • Related broker-dealer · true to false
      Mar 30, 2015 to Apr 30, 2015
    • Accounts · 57 to 51
      Jun 10, 2014 to Mar 30, 2015
    • Assets in custody · $78.6M to $37.0M
      Jun 10, 2014 to Mar 30, 2015
    • Employees · 8 to 7
      Jun 10, 2014 to Mar 30, 2015
    • State-registered IARs · 8 to 7
      Jun 10, 2014 to Mar 30, 2015
    • Private funds · 2 to 1
      Jun 10, 2014 to Mar 30, 2015
    • Discretionary RAUM · $1.6B to $1.6B
      Jun 10, 2014 to Mar 30, 2015
    • RAUM · $1.6B to $1.6B
      Jun 10, 2014 to Mar 30, 2015
    • Assets in custody · $305M to $78.6M
      Jun 25, 2013 to Mar 31, 2014
    • Employees · 9 to 8
      Jun 25, 2013 to Mar 31, 2014
    • Discretionary RAUM · $2.0B to $1.6B
      Jun 25, 2013 to Mar 31, 2014
    • RAUM · $2.0B to $1.6B
      Jun 25, 2013 to Mar 31, 2014
    • Related bank · false to true
      Jun 25, 2013 to Mar 31, 2014
    • Discretionary RAUM · $2.0B to $2.0B
      Apr 1, 2013 to Apr 26, 2013
    • RAUM · $2.0B to $2.0B
      Apr 1, 2013 to Apr 26, 2013
    • Accounts · 53 to 57
      Mar 29, 2012 to Apr 1, 2013
    • Advisory employees · unset to 6.0
      Mar 29, 2012 to Apr 1, 2013
    • BD registered reps · unset to 1.0
      Mar 29, 2012 to Apr 1, 2013
    • Employees · unset to 9.0
      Mar 29, 2012 to Apr 1, 2013
    • State-registered IARs · unset to 8.0
      Mar 29, 2012 to Apr 1, 2013
    • Discretionary RAUM · $1.9B to $2.0B
      Mar 29, 2012 to Apr 1, 2013
    • RAUM · $1.9B to $2.0B
      Mar 29, 2012 to Apr 1, 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