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

S•••••• I••••••••• A••••••• S•

Former SEC-registered adviserGeneva, CRD 152092SEC 801-70831IAPD
Latest filing Nov 9, 2015
First filing on the tape Mar 27, 2012 · 9 filings
RAUM
$211M
reported, Item 5.F
Discretionary
72%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$152M as of Jan 26, 2015
Mar 27, 2012$24.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 26, 2015
Jan 28, 20130 then
Employees (5.A)4 as of Jan 26, 2015
Jan 28, 20134 then
Private funds: no history
RAUM +75% over the last fiscal year+105% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 9, 2015; 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
$3.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
72%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
+26%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
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
63reported
Financial planning clients
n/areported
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
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
      • B•••••• M•••••••• Y••• · Chief Executive Officercontrol
        since 03/2010 · owns less than 5%
      • F•••••••• E•••••• P•••••• · Directorcontrol
        since 08/2015 · owns less than 5%
      • L••••••••• L•••••• · Chief Compliance Officercontrol
        since 08/2011 · owns less than 5%
      • L•••••• J••••••••• F••••••• · Directorcontrol
        since 08/2015 · owns less than 5%
      • U••••• N••••• M••• · Directorcontrol
        since 08/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      • B••••• S•• ••••••• S•
        custodiann
      • Ssa Wealth Advisors
        investment advisernRAUM $817M
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 33 to 63
        Jan 26, 2015 to Sep 4, 2015
      • Advisory employees · 4 to 3
        Jan 26, 2015 to Sep 4, 2015
      • Employees · 4 to 3
        Jan 26, 2015 to Sep 4, 2015
      • Discretionary RAUM · $152M to $151M
        Jan 26, 2015 to Sep 4, 2015
      • Non-discretionary RAUM · $0 to $60.0M
        Jan 26, 2015 to Sep 4, 2015
      • RAUM · $152M to $211M
        Jan 26, 2015 to Sep 4, 2015
      • Related bank · true to false
        Jan 26, 2015 to Sep 4, 2015
      • Related broker-dealer · true to false
        Jan 26, 2015 to Sep 4, 2015
      • Business name · R•• I••••••••• A••••••• S• to S•••••• I••••••••• A••••••• S•
        Sep 4, 2015 to Sep 4, 2015
      • Legal name · R•• I••••••••• A••••••• S• to S•••••• I••••••••• A••••••• S•
        Sep 4, 2015 to Sep 4, 2015
      • Accounts · 27 to 33
        Jan 29, 2014 to Jan 26, 2015
      • Discretionary RAUM · $120M to $152M
        Jan 29, 2014 to Jan 26, 2015
      • RAUM · $120M to $152M
        Jan 29, 2014 to Jan 26, 2015
      • Accounts · 15 to 27
        Mar 13, 2013 to Jan 29, 2014
      • Discretionary RAUM · $83.4M to $120M
        Mar 13, 2013 to Jan 29, 2014
      • RAUM · $83.4M to $120M
        Mar 13, 2013 to Jan 29, 2014
      • Accounts · 9 to 15
        Jan 28, 2013 to Mar 13, 2013
      • Discretionary RAUM · $53.0M to $83.4M
        Jan 28, 2013 to Mar 13, 2013
      • RAUM · $53.0M to $83.4M
        Jan 28, 2013 to Mar 13, 2013
      • Accounts · 5 to 9
        Jul 17, 2012 to Jan 28, 2013
      • Advisory employees · unset to 4.0
        Jul 17, 2012 to Jan 28, 2013
      • Employees · unset to 4.0
        Jul 17, 2012 to Jan 28, 2013
      • State-registered IARs · unset to 0.0
        Jul 17, 2012 to Jan 28, 2013
      • Discretionary RAUM · $23.2M to $53.0M
        Jul 17, 2012 to Jan 28, 2013
      • RAUM · $23.2M to $53.0M
        Jul 17, 2012 to Jan 28, 2013
      • Accounts · 10 to 5
        Mar 27, 2012 to Jul 17, 2012
      • HQ city · NYON to GENEVA
        Mar 27, 2012 to Jul 17, 2012
      • Discretionary RAUM · $19.0M to $23.2M
        Mar 27, 2012 to Jul 17, 2012
      • Non-discretionary RAUM · $5.3M to $0
        Mar 27, 2012 to Jul 17, 2012
      • RAUM · $24.4M to $23.2M
        Mar 27, 2012 to Jul 17, 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