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•••••• H•••• W••••• M••••••••• L••
Latest filing Oct 8, 2018
First filing on the tape Apr 13, 2012 · 30 filings
RAUM
$142M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
100%
$142M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$142M as of Mar 29, 2018
Mar 14, 2013$229M then
HNW client RAUM: $122M
State-registered IARs (5.B.3)5 as of Mar 29, 2018
Mar 14, 201314 then
Employees (5.A)5 as of Mar 29, 2018
Mar 14, 201316 then
Private funds: no history
RAUM -7.4% over the last fiscal year-23% a year over threeIARs 8 to 5
Practice profile
derived from the filing of Oct 8, 2018; every figure names its basis
- RAUM per advisor
- $28.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $225,224derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%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
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -38%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 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 an insurance broker or agent (6.A.6)
- is a trust company (6.A.8)
- 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
- High-net-worth individuals$122M86%
- Individuals$20.3M14%
- Individual clients
- 88reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 631reported
- 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
- B••• R•••••• A•••••• to O••••••• P•••••••• L••Nov 23, 2018 · Other
- E••••• K•••• L••• to O••••••• P•••••••• L••Oct 5, 2018 · Other
- S•••• H••••• B••••••• to M••••• S••••••Apr 4, 2018 · RIA to wirehouse
- M••• C•••••••• K••••• to V••••• C•••••• W•••••Jul 8, 2016 · Other
- I••• J••••••••• to C• P••••••• C•••Apr 4, 2016 · Other
- M••• E••••• M••••••• to C• P••••••• C•••Apr 4, 2016 · Other
- B•••••• S•••• S••••••• to M••••• A•••••••• L••Mar 3, 2016 · Other
- J•••• R••••• S••••• to M••••• A•••••••• L••Mar 3, 2016 · Other
- E••••• J••••• B•••••• to M••••• A•••••••• L••Mar 3, 2016 · Other
- S••••• W•••••• S•••••••• to H•••••• S••••••••• I•••Jan 19, 2016 · Other
- A••••• C•••• F••• to H•••••• S••••••••• I•••Jan 19, 2016 · Other
- R••••• H•••• J•••• to V••••• C•••••• W•••••May 26, 2015 · Other
- T••••• R••••• S•••••• to A••••••• P••••••• A•••••••• L••Jun 26, 2014 · Other
- D••••• B••• to W•••• F•••• A•••••••May 29, 2014 · Other
- A••••• E•••••• L•••• to W•••••• S••••••••• I•••Apr 7, 2014 · Other
Joined, latest
- E••••• K•••• L••• from M••••• S••••••May 27, 2015 · Other
- S•••• H••••• B••••••• from C•••• I••••••••• S••••••• C••••Jan 23, 2014 · Other
- J•••• R••••• S••••• from M••••• S••••••Jan 21, 2014 · Other
- D••••• B••• from M••••• S••••••Jan 14, 2014 · Other
- M••• E••••• M••••••• from M••••••• A•••• M••••••••• L••Sep 5, 2013 · Other
- I••• J••••••••• from M••••••• A•••• M••••••••• L••Sep 4, 2013 · Other
- E••••• J••••• B•••••• from M••••• S••••••Jul 31, 2013 · Other
- B•••••• S•••• S••••••• from M••••• S••••••Jul 30, 2013 · Other
- A••••• C•••• F••• from R••••• W• B•••• • C•• I•••••••••Aug 13, 2012 · Other
- S••••• W•••••• S•••••••• from R••••• W• B•••• • C•• I•••••••••Jun 7, 2012 · Other
- T••••• R••••• S•••••• from M••••• S••••••Apr 30, 2012 · Other
- B••• R•••••• A•••••• from M••••• S••••••Mar 6, 2012 · Other
- M••• C•••••••• K••••• from M••••• S••••••Feb 24, 2011 · Other
- R••••• H•••• J•••• from M••••• S••••••Feb 24, 2011 · Other
- A••••• E•••••• L•••• from M••••• S••••••Jan 14, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C• P••••••• C•••Apr 4, 2016 · B•••••• H••••, Ca
- 3 left for M••••• A•••••••• L••Mar 3, 2016 · B•••••• H••••, Ca
- 2 left for H•••••• S••••••••• I•••Jan 19, 2016 · B•••••• H••••, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• M•••••••• M••••••• · Managing Member & Chief Compliance Officercontrolsince 12/2009 · owns 75% or more
Related persons
Schedule D 7.A
- B••• I•••••••• S•••••••• L••real estatey
Advisers that list B•••••• H•••• W••••• M••••••••• L•• as a related person
- 285727 n
Offices
Schedule D 1.F, the 25 largest
- Jacksonville, FL1 employees
- Litchfield Park, AZ1 employees
What changed
consecutive filings, newest first
- Accounts · 627 to 631Oct 18, 2017 to Mar 29, 2018
- Advisory activities · 5 to 6Oct 18, 2017 to Mar 29, 2018
- BD registered reps · 5 to 0Oct 18, 2017 to Mar 29, 2018
- HNW clients · 470 to 80Oct 18, 2017 to Mar 29, 2018
- Individual clients · 157 to 88Oct 18, 2017 to Mar 29, 2018
- Discretionary RAUM · $128M to $104MOct 18, 2017 to Mar 29, 2018
- HNW RAUM · $97.0M to $122MOct 18, 2017 to Mar 29, 2018
- Individual RAUM · $39.5M to $20.3MOct 18, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $10.0M to $38.2MOct 18, 2017 to Mar 29, 2018
- Pension RAUM · 0.0 to unsetOct 18, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · 0.0 to unsetOct 18, 2017 to Mar 29, 2018
- RAUM · $138M to $142MOct 18, 2017 to Mar 29, 2018
- Accounts · 775 to 627Sep 8, 2017 to Oct 4, 2017
- HNW clients · unset to 470.0Sep 8, 2017 to Oct 4, 2017
- Individual clients · unset to 157.0Sep 8, 2017 to Oct 4, 2017
- Other offices · unset to 2.0Sep 8, 2017 to Oct 4, 2017
- Discretionary RAUM · $143M to $128MSep 8, 2017 to Oct 4, 2017
- HNW RAUM · unset to 97000000.0Sep 8, 2017 to Oct 4, 2017
- Individual RAUM · unset to 39500000.0Sep 8, 2017 to Oct 4, 2017
- Pension RAUM · unset to 0.0Sep 8, 2017 to Oct 4, 2017
- Pooled vehicle RAUM · unset to 0.0Sep 8, 2017 to Oct 4, 2017
- RAUM · $153M to $138MSep 8, 2017 to Oct 4, 2017
- Advisory employees · 8 to 5Mar 21, 2017 to Jun 22, 2017
- Employees · 8 to 5Mar 21, 2017 to Jun 22, 2017
- Insurance-licensed employees · 5 to 0Mar 21, 2017 to Jun 22, 2017
- State-registered IARs · 8 to 5Mar 21, 2017 to Jun 22, 2017
- Related adviser · true to falseMar 21, 2017 to Jun 22, 2017
- Accounts · 811 to 775Oct 21, 2016 to Mar 21, 2017
- Advisory employees · 10 to 8Oct 21, 2016 to Mar 21, 2017
- BD registered reps · 7 to 5Oct 21, 2016 to Mar 21, 2017
- Employees · 10 to 8Oct 21, 2016 to Mar 21, 2017
- Insurance-licensed employees · 0 to 5Oct 21, 2016 to Mar 21, 2017
- Financial planning clients · 1-10 to 0Oct 21, 2016 to Mar 21, 2017
- State-registered IARs · 9 to 8Oct 21, 2016 to Mar 21, 2017
- Discretionary RAUM · $289M to $143MOct 21, 2016 to Mar 21, 2017
- Non-discretionary RAUM · $619,000 to $10.0MOct 21, 2016 to Mar 21, 2017
- RAUM · $289M to $153MOct 21, 2016 to Mar 21, 2017
- Related adviser · false to trueOct 21, 2016 to Mar 21, 2017
- Accounts · 1,119 to 811Sep 9, 2015 to Mar 30, 2016
- Advisory employees · 12 to 10Sep 9, 2015 to Mar 30, 2016
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