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••••••• W••••• M••••••••• I•••
Latest filing Dec 20, 2024
First filing on the tape Mar 23, 2012 · 30 filings
SEC status approved since Feb 23, 2010
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
31
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.0B as of Mar 29, 2024
Mar 23, 2012$106M then
HNW client RAUM$874M as of Mar 29, 2024
Mar 27, 2018$224M then
State-registered IARs (5.B.3)10 as of Mar 29, 2024
Mar 23, 20120 then
Employees (5.A)31 as of Mar 29, 2024
Mar 11, 20139 then
Private funds: no history
RAUM +26% over the last fiscal year+10% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Dec 20, 2024; every figure names its basis
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $523,119derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.1derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $218M, 398 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$874M87%
- Individuals$131M13%
- Individual clients
- 308reported
- HNW clients
- 392reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,921reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $218M for 398 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
- R•••••• L•• C•••••• to C•••••••Mar 28, 2025 · Other
- K•••• P•••• C••••••• to C•••••••Mar 28, 2025 · Other
- M••••• L••• to C•••••••Mar 28, 2025 · Other
- J•••• R••••••• to C•••••••Mar 28, 2025 · Other
- F•••••• F••• to C•••••••Mar 28, 2025 · Other
- Q•••• W•••••• A••••• to C•••••••Mar 28, 2025 · Other
- B•••• S•••••• to C•••••••Mar 28, 2025 · Other
- M••• T••••• W••••• to C•••••••Mar 28, 2025 · Other
- N••••• B••••••••• to C•••••••Mar 28, 2025 · Other
- I•• T••••• P••••• to C•••••••Feb 6, 2025 · Other
- A••••• J•••• A••••• to C•••••••Feb 6, 2025 · Other
- T•••• J• F•••• to C•••••••Feb 6, 2025 · Other
- N•••••••• D•••• R••••••• to C• A•••••••• L••Aug 8, 2024 · RIA to RIA
- R••• A•••••• B•••• to M•• I•••••••• S•••••••• L••Nov 29, 2023 · RIA to affiliated broker-dealer or bank
- D•••• G•• to S••••Oct 5, 2023 · RIA to RIA
Joined, latest
- A••••• J•••• A••••• from V••••••• C•••••• P•••••••Jun 4, 2024 · RIA to RIA
- B•••• S•••••• from C•••••• S••••• • C••• I•••Jun 3, 2024 · Affiliated broker-dealer or bank to independent RIA
- N•••••••• D•••• R••••••• from C• A••••••• S•••••••Mar 7, 2023 · RIA to RIA
- I•• T••••• P••••• from F••••••• P••••••• A•• W•••••••• A•••••••Feb 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- F•••••• F••• from W••• G•••• C•••••• A•••••••Sep 21, 2022 · RIA to RIA
- M••• D••••• G•••• from C•••••••May 18, 2021 · Other
- J••••• D•••• D•••••••• from H• B•••• I•••Apr 6, 2021 · Affiliated broker-dealer or bank to independent RIA
- R••• A•••••• B•••• from S••••• W••••• A•••••••• I•••Apr 14, 2020 · Other
- K•••••••• H•••••• H••••• from W•••• F•••• A•••••••Mar 4, 2020 · Wirehouse to independent RIA
- M•••••• K•••• from F••••••• P••••••• A•• W•••••••• A•••••••Dec 12, 2019 · Affiliated broker-dealer or bank to independent RIA
- M••••• L••• from S••• F•••••••• A•••••••Mar 21, 2019 · RIA to RIA
- J•••• A•••••••• S•••• from R•• C•••••• M••••••• L••Mar 21, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••• R••••••• from C•••••• O•• A•••••••• L••Jul 24, 2018 · Affiliated broker-dealer or bank to independent RIA
- N••••• W••• T••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 24, 2018 · Wirehouse to independent RIA
- M••• T••••• W••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 8, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• E•••• T• · Shareholdercontrolsince 12/2019 · owns 5% to 10%
- C•••••••• K••••• P•••• · President/Chief Compliance Officer/Ownercontrolsince 09/2003 · owns 75% or more
- C••••••• R••••••• L•• · Shareholdercontrolsince 12/2019 · owns 10% to 25%
- W•••••• M•••• T••••• · Shareholdercontrolsince 12/2019 · owns 5% to 10%
- C•••••••• K•••••••• B••••••• · Secretary/Treasurersince 09/2003 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••••investment advisernRAUM $1237B
- C••••••• Financial A••••••Sbroker-dealernRAUM $116B
Advisers that list C••••••• W••••• M••••••••• I••• as a related person
- 175112 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alexandria, Va · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueApr 24, 2024 to Dec 20, 2024
- Related broker-dealer · false to trueApr 24, 2024 to Dec 20, 2024
- Accounts · 1,987 to 1,921Jan 2, 2024 to Mar 29, 2024
- BD registered reps · 4 to 2Jan 2, 2024 to Mar 29, 2024
- HNW clients · 322 to 392Jan 2, 2024 to Mar 29, 2024
- Individual clients · 301 to 308Jan 2, 2024 to Mar 29, 2024
- Assets in custody · unset to 217803730.0Jan 2, 2024 to Mar 29, 2024
- Custody of client assets · false to trueJan 2, 2024 to Mar 29, 2024
- Employees · 33 to 31Jan 2, 2024 to Mar 29, 2024
- Discretionary RAUM · $800M to $1.0BJan 2, 2024 to Mar 29, 2024
- HNW RAUM · $156M to $874MJan 2, 2024 to Mar 29, 2024
- Individual RAUM · $644M to $131MJan 2, 2024 to Mar 29, 2024
- RAUM · $800M to $1.0BJan 2, 2024 to Mar 29, 2024
- Accounts · 1,965 to 1,987Oct 10, 2022 to Mar 31, 2023
- Advisory employees · 9 to 10Oct 10, 2022 to Mar 31, 2023
- BD registered reps · 9 to 4Oct 10, 2022 to Mar 31, 2023
- Charity clients · 3.0 to unsetOct 10, 2022 to Mar 31, 2023
- HNW clients · 340 to 322Oct 10, 2022 to Mar 31, 2023
- Individual clients · 253 to 301Oct 10, 2022 to Mar 31, 2023
- Employees · 25 to 33Oct 10, 2022 to Mar 31, 2023
- State-registered IARs · 9 to 10Oct 10, 2022 to Mar 31, 2023
- Discretionary RAUM · $937M to $800MOct 10, 2022 to Mar 31, 2023
- HNW RAUM · $801M to $156MOct 10, 2022 to Mar 31, 2023
- Individual RAUM · $137M to $644MOct 10, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $1.2M to $0Oct 10, 2022 to Mar 31, 2023
- RAUM · $938M to $800MOct 10, 2022 to Mar 31, 2023
- Accounts · 1,750 to 1,965Aug 6, 2021 to Mar 24, 2022
- Charity clients · unset to 3.0Aug 6, 2021 to Mar 24, 2022
- HNW clients · 300 to 340Aug 6, 2021 to Mar 24, 2022
- Individual clients · 259 to 253Aug 6, 2021 to Mar 24, 2022
- Assets in custody · 349205058.0 to unsetAug 6, 2021 to Mar 24, 2022
- Custody of client assets · true to falseAug 6, 2021 to Mar 24, 2022
- Employees · 27 to 25Aug 6, 2021 to Mar 24, 2022
- Discretionary RAUM · $749M to $937MAug 6, 2021 to Mar 24, 2022
- HNW RAUM · $606M to $801MAug 6, 2021 to Mar 24, 2022
- Individual RAUM · $142M to $137MAug 6, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $0 to $1.2MAug 6, 2021 to Mar 24, 2022
- RAUM · $749M to $938MAug 6, 2021 to Mar 24, 2022
- Accounts · 1,378 to 1,750Jun 27, 2020 to Mar 25, 2021
- HNW clients · 232 to 300Jun 27, 2020 to Mar 25, 2021
Signals
29 dated events
- C••••••• W••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $1.0B)May 2, 2025 · Left the SEC roster · derived
- J•••• R••••••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2024-12-20)Mar 28, 2025 · a•••••• firm change · fact
- N••••• B••••••••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2024-12-20)Mar 28, 2025 · a•••••• firm change · fact
- F•••••• F••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2024-12-20)Mar 28, 2025 · a•••••• firm change · fact
- Q•••• W•••••• A••••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2024-12-20)Mar 28, 2025 · a•••••• firm change · fact
- R•••••• L•• C•••••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2024-12-20)Mar 28, 2025 · a•••••• firm change · fact
- K•••• P•••• C••••••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2024-12-23)Mar 28, 2025 · a•••••• firm change · fact
- M••• T••••• W••••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2024-12-20)Mar 28, 2025 · a•••••• firm change · fact
- B•••• S•••••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2024-12-20)Mar 28, 2025 · a•••••• firm change · fact
- M••••• L••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2025-02-27)Mar 28, 2025 · a•••••• firm change · fact
- C••••••• W••••• M••••••••• I•••'s advisors moved to C••••••• (Alexandria, VA): 9 of 9 registered, on the same dayMar 28, 2025 · Firm absorbed (people side) · derived
- T•••• J• F•••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2025-02-07)Feb 6, 2025 · a•••••• firm change · fact
- I•• T••••• P••••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2025-02-07)Feb 6, 2025 · a•••••• firm change · fact
- A••••• J•••• A••••• left C••••••• W••••• M••••••••• I••• for C••••••• (registered 2025-01-02)Feb 6, 2025 · a•••••• firm change · fact
- 3 advisors left C••••••• W••••• M••••••••• I••• (Alexandria, VA) for C••••••• on the same dayFeb 6, 2025 · Team lift-out · derived
- N•••••••• D•••• R••••••• left C••••••• W••••• M••••••••• I••• for C• A•••••••• L•• (registered 2024-10-07)Aug 8, 2024 · a•••••• firm change · fact
- C••••••• W••••• M••••••••• I••• reported RAUM $1.0B, up 26% from $799.7M (2024-01-02 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- R••• A•••••• B•••• left C••••••• W••••• M••••••••• I••• for M•• I•••••••• S•••••••• L•• (registered 2023-11-16)Nov 29, 2023 · a•••••• firm change · fact
- D•••• G•• left C••••••• W••••• M••••••••• I••• for Savvy (registered 2024-01-26)Oct 5, 2023 · a•••••• firm change · fact
- B•••••• C••••• left C••••••• W••••• M••••••••• I••• for O•••• F•• I••• (registered 2024-03-08)Aug 4, 2023 · a•••••• firm change · fact
- E••• T• B•••• left C••••••• W••••• M••••••••• I••• for M•••••• I••••••••• (registered 2023-07-10)Jul 10, 2023 · a•••••• firm change · fact
- N••••• W••• T••••••• left C••••••• W••••• M••••••••• I••• for M••••••• W••••• M••••••••• (registered 2022-06-14)Jun 3, 2022 · a•••••• firm change · fact
- P•••••• F•••••• M••••••• left C••••••• W••••• M••••••••• I••• for Pathstone (registered 2022-10-26)May 24, 2022 · a•••••• firm change · fact
- C••••••• W••••• M••••••••• I••• reported RAUM $938.0M, up 25% from $748.6M (2021-08-06 to 2022-03-24)Mar 24, 2022 · RAUM change · derived
- C••••••• W••••• M••••••••• I••• reported RAUM $748.6M, up 36% from $550.0M (2020-06-27 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- C••••••• W••••• M••••••••• I••• reported RAUM $550.0M, up 50% from $367.0M (2019-03-27 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- T••••• M••• W••••• (Shareholder) appeared on Schedule A of C••••••• W••••• M••••••••• I•••Mar 23, 2020 · Control person joined · fact
- T E••• B•••• (Shareholder) appeared on Schedule A of C••••••• W••••• M••••••••• I•••Mar 23, 2020 · Control person joined · fact
- Lee R•••••• C•••••• (Shareholder) appeared on Schedule A of C••••••• W••••• M••••••••• I•••Mar 23, 2020 · Control person joined · 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