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

M•••• W••••• M••••••••• L••

Former SEC-registered adviserAmes, IowaCRD 152280SEC 801-70824IAPD
Latest filing Jun 24, 2020
First filing on the tape Mar 8, 2012 · 31 filings
RAUM
$218M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$216M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$218M as of Mar 4, 2020
Mar 8, 2012$90.1M then
HNW client RAUM$132M as of Mar 4, 2020
Mar 3, 2018$94.5M then
State-registered IARs (5.B.3)3 as of Mar 4, 2020
Mar 8, 20120 then
Employees (5.A)6 as of Mar 4, 2020
Mar 1, 20132 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 24, 2020; every figure names its basis
RAUM per advisor
$72.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
94derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$767,369derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 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$132M61%
  • Individuals$84.2M39%
  • Charitable organizations$1.7M0.8%
  • Corporations and businesses$46,3810.0%
Individual clients
215reported
HNW clients
66reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
284reported
Financial planning clients
101-250reported
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
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••••••• N•••••• D•••••• · Ownercontrol
      since 03/2016 · owns 10% to 25%
    • M••••• C••••• T•••••• · Owner/Managing Membercontrol
      since 03/2016 · owns 50% to 75%
    • R•••••• A•••• · Owner/Chief Compliance Officercontrol
      since 03/2016 · owns 10% to 25%
    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 · 994 to 284
      Jan 30, 2019 to Mar 4, 2020
    • HNW clients · 59 to 66
      Jan 30, 2019 to Mar 4, 2020
    • Individual clients · 217 to 215
      Jan 30, 2019 to Mar 4, 2020
    • Discretionary RAUM · $182M to $214M
      Jan 30, 2019 to Mar 4, 2020
    • HNW RAUM · $108M to $132M
      Jan 30, 2019 to Mar 4, 2020
    • Individual RAUM · $75.5M to $84.2M
      Jan 30, 2019 to Mar 4, 2020
    • Non-discretionary RAUM · $4.0M to $3.6M
      Jan 30, 2019 to Mar 4, 2020
    • RAUM · $186M to $218M
      Jan 30, 2019 to Mar 4, 2020
    • Accounts · 950 to 994
      Sep 28, 2018 to Jan 30, 2019
    • HNW clients · 54 to 59
      Sep 28, 2018 to Jan 30, 2019
    • Discretionary RAUM · $172M to $182M
      Sep 28, 2018 to Jan 30, 2019
    • HNW RAUM · $94.5M to $108M
      Sep 28, 2018 to Jan 30, 2019
    • Individual RAUM · $75.0M to $75.5M
      Sep 28, 2018 to Jan 30, 2019
    • Non-discretionary RAUM · $318,679 to $4.0M
      Sep 28, 2018 to Jan 30, 2019
    • RAUM · $172M to $186M
      Sep 28, 2018 to Jan 30, 2019
    • Accounts · 1,114 to 950
      Jun 23, 2017 to Mar 3, 2018
    • HNW clients · unset to 54.0
      Jun 23, 2017 to Mar 3, 2018
    • Individual clients · unset to 217.0
      Jun 23, 2017 to Mar 3, 2018
    • Financial planning clients · 0 to 101-250
      Jun 23, 2017 to Mar 3, 2018
    • Other offices · unset to 0.0
      Jun 23, 2017 to Mar 3, 2018
    • Discretionary RAUM · $149M to $172M
      Jun 23, 2017 to Mar 3, 2018
    • HNW RAUM · unset to 94464314.0
      Jun 23, 2017 to Mar 3, 2018
    • Individual RAUM · unset to 75042794.0
      Jun 23, 2017 to Mar 3, 2018
    • Non-discretionary RAUM · $683,770 to $318,679
      Jun 23, 2017 to Mar 3, 2018
    • RAUM · $150M to $172M
      Jun 23, 2017 to Mar 3, 2018
    • Accounts · 1,016 to 1,114
      Nov 9, 2016 to Feb 22, 2017
    • Advisory employees · 6 to 3
      Nov 9, 2016 to Feb 22, 2017
    • State-registered IARs · 2 to 3
      Nov 9, 2016 to Feb 22, 2017
    • Discretionary RAUM · $144M to $149M
      Nov 9, 2016 to Feb 22, 2017
    • Non-discretionary RAUM · $2.6M to $683,770
      Nov 9, 2016 to Feb 22, 2017
    • RAUM · $147M to $150M
      Nov 9, 2016 to Feb 22, 2017
    • Employees · 8 to 6
      Mar 25, 2016 to Apr 29, 2016
    • State-registered IARs · 4 to 2
      Mar 25, 2016 to Apr 29, 2016
    • Accounts · 994 to 1,016
      Aug 25, 2015 to Mar 25, 2016
    • Advisory employees · 4 to 6
      Aug 25, 2015 to Mar 25, 2016
    • Employees · 4 to 8
      Aug 25, 2015 to Mar 25, 2016
    • Discretionary RAUM · $148M to $144M
      Aug 25, 2015 to Mar 25, 2016
    • Non-discretionary RAUM · $0 to $2.6M
      Aug 25, 2015 to Mar 25, 2016
    • RAUM · $148M to $147M
      Aug 25, 2015 to Mar 25, 2016
    • Accounts · 1,263 to 994
      Jul 16, 2015 to Aug 25, 2015
    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