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
I••••••• F•••••••• S••••••••• L••
Latest filing Jan 31, 2019
First filing on the tape Jun 19, 2015 · 5 filings
RAUM
$166M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$166M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$166M as of Jan 31, 2019
Mar 8, 2016$110M then
HNW client RAUM$160M as of Jan 31, 2019
Mar 14, 2018$160M then
State-registered IARs (5.B.3)2 as of Jan 31, 2019
Mar 8, 20162 then
Employees (5.A)3 as of Jan 31, 2019
Mar 8, 20163 then
Private funds: no history
RAUM -0.9% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 31, 2019; every figure names its basis
- RAUM per advisor
- $82.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $543,843derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $128M, 53 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
- High-net-worth individuals$160M96%
- Individuals$6.0M3.6%
- Individual clients
- 15reported
- HNW clients
- 66reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 305reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $128M for 53 clientsreported
- 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
- J•••• L••• H••••••• to S••• H••• G••••• A•••••••• L••Jan 31, 2020 · RIA to RIA
- B•••• T••••• to S••• H••• G••••• A•••••••• L••Jan 31, 2020 · RIA to RIA
- E•••••••• A••• B•••• to W••••••••• F•••••••• A•••••••• L••Aug 31, 2012 · Other
Joined, latest
- E•••••••• A••• B•••• from W•••••• • R•••Aug 12, 2011 · Other
- J•••• L••• H••••••• from B••••Mar 16, 2010 · Other
- B•••• T••••• from B••••Mar 16, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S••• H••• G••••• A•••••••• L••Jan 31, 2020 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• J••••• L••• · Managing Member, Ccocontrolsince 12/2009 · owns 50% to 75%
- T•••••• B•••• · Managing Membercontrolsince 12/2009 · owns 50% to 75%
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
- Charity clients · unset to 0.0Mar 14, 2018 to Jan 31, 2019
- Corporate clients · unset to 0.0Mar 14, 2018 to Jan 31, 2019
- HNW clients · 62 to 66Mar 14, 2018 to Jan 31, 2019
- Pension plan clients · unset to 0.0Mar 14, 2018 to Jan 31, 2019
- Pooled vehicle clients · unset to 0.0Mar 14, 2018 to Jan 31, 2019
- Assets in custody · $46.7M to $128MMar 14, 2018 to Jan 31, 2019
- Discretionary RAUM · $167M to $166MMar 14, 2018 to Jan 31, 2019
- HNW RAUM · $160M to $160MMar 14, 2018 to Jan 31, 2019
- Individual RAUM · $7.9M to $6.0MMar 14, 2018 to Jan 31, 2019
- Pension RAUM · unset to 0.0Mar 14, 2018 to Jan 31, 2019
- Pooled vehicle RAUM · unset to 0.0Mar 14, 2018 to Jan 31, 2019
- RAUM · $167M to $166MMar 14, 2018 to Jan 31, 2019
- Accounts · 273 to 305Mar 27, 2017 to Mar 14, 2018
- HNW clients · unset to 62.0Mar 27, 2017 to Mar 14, 2018
- Individual clients · unset to 15.0Mar 27, 2017 to Mar 14, 2018
- Assets in custody · unset to 46725848.0Mar 27, 2017 to Mar 14, 2018
- Custody of client assets · false to trueMar 27, 2017 to Mar 14, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 14, 2018
- Discretionary RAUM · $123M to $167MMar 27, 2017 to Mar 14, 2018
- HNW RAUM · unset to 159515318.0Mar 27, 2017 to Mar 14, 2018
- Individual RAUM · unset to 7890851.0Mar 27, 2017 to Mar 14, 2018
- RAUM · $123M to $167MMar 27, 2017 to Mar 14, 2018
- Accounts · 237 to 273Mar 8, 2016 to Mar 27, 2017
- Discretionary RAUM · $110M to $123MMar 8, 2016 to Mar 27, 2017
- RAUM · $110M to $123MMar 8, 2016 to Mar 27, 2017
- Accounts · 225 to 237Jun 19, 2015 to Mar 8, 2016
- Discretionary RAUM · $108M to $110MJun 19, 2015 to Mar 8, 2016
- RAUM · $108M to $110MJun 19, 2015 to Mar 8, 2016
Signals
1 dated events
- I••••••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jun 19, 2015 · First SEC registration · fact
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