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•••••••• C•••••• M••••••••• I•••
Latest filing Mar 21, 2018
First filing on the tape Mar 13, 2012 · 10 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.7B as of Mar 21, 2018
Mar 13, 2012$1.7B then
HNW client RAUM: $1.5B
State-registered IARs (5.B.3)0 as of Mar 21, 2018
Mar 13, 20120 then
Employees (5.A)6 as of Mar 21, 2018
Mar 20, 20136 then
Private funds: no history
RAUM -19% over the last fiscal year-7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2018; 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
- $8.7MderivedHNW RAUM over HNW clients
- Average account
- $7.5MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%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 individuals, portfolio management for businesses and institutionsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.5B100%
- Individuals$6.9M0.5%
- Individual clients
- 22reported
- HNW clients
- 173reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 227reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•• Y•••• H••• · Directorcontrolsince 01/2017 · owns 5% to 10%
- S••••••• J•••• M•••••• · Managing Directorcontrolsince 11/2009 · owns 25% to 50%
- S•••••• J•••••• R•••• · Managing Directorcontrolsince 11/2009 · owns 25% to 50%
- S••••• T•••••• D•••• · Managing Directorcontrolsince 11/2009 · owns 25% to 50%
- S••••• R••••• J••••• · Chief Compliance Officercontrolsince 06/2011 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 245 to 227Mar 23, 2017 to Mar 21, 2018
- HNW clients · unset to 173.0Mar 23, 2017 to Mar 21, 2018
- Individual clients · unset to 22.0Mar 23, 2017 to Mar 21, 2018
- Other offices · unset to 0.0Mar 23, 2017 to Mar 21, 2018
- Discretionary RAUM · $2.1B to $1.7BMar 23, 2017 to Mar 21, 2018
- HNW RAUM · unset to 1513351808.0Mar 23, 2017 to Mar 21, 2018
- Individual RAUM · unset to 6883556.0Mar 23, 2017 to Mar 21, 2018
- RAUM · $2.1B to $1.7BMar 23, 2017 to Mar 21, 2018
- Accounts · 231 to 245Mar 30, 2016 to Mar 23, 2017
- Discretionary RAUM · $2.0B to $2.1BMar 30, 2016 to Mar 23, 2017
- RAUM · $2.0B to $2.1BMar 30, 2016 to Mar 23, 2017
- Accounts · 205 to 231Apr 6, 2015 to Mar 30, 2016
- Discretionary RAUM · $2.1B to $2.0BApr 6, 2015 to Mar 30, 2016
- RAUM · $2.1B to $2.0BApr 6, 2015 to Mar 30, 2016
- Accounts · 190 to 205Mar 31, 2014 to Mar 13, 2015
- Discretionary RAUM · $1.9B to $2.1BMar 31, 2014 to Mar 13, 2015
- RAUM · $1.9B to $2.1BMar 31, 2014 to Mar 13, 2015
- Accounts · 197 to 190Dec 17, 2013 to Mar 31, 2014
- Discretionary RAUM · $1.5B to $1.9BDec 17, 2013 to Mar 31, 2014
- RAUM · $1.5B to $1.9BDec 17, 2013 to Mar 31, 2014
- Accounts · 196 to 197Mar 26, 2012 to Mar 20, 2013
- Advisory employees · unset to 4.0Mar 26, 2012 to Mar 20, 2013
- Employees · unset to 6.0Mar 26, 2012 to Mar 20, 2013
- Discretionary RAUM · $1.7B to $1.5BMar 26, 2012 to Mar 20, 2013
- RAUM · $1.7B to $1.5BMar 26, 2012 to Mar 20, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Chieftain Capital Management Inc · Family Officesshared crd · office
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