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
B•••• H•••• A•••• M••••••••• L••
Latest filing Mar 22, 2017
First filing on the tape Feb 13, 2012 · 14 filings
RAUM
$29.6M
reported, Item 5.F
Discretionary
100%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$29.6M as of Mar 7, 2017
Feb 13, 2012$31.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2017
Mar 8, 20131 then
Employees (5.A)1 as of Mar 7, 2017
Mar 8, 20131 then
Private funds: no history
RAUM -2.6% over the last fiscal year-0.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2017; 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
- $1.8MderivedRAUM 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
- -2.6%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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)
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
- 16reported
- Financial planning clients
- 0reported
- 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
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
- H••••••• L•••••••• L•• · Member/Chief Compliance Officercontrolsince 03/2010 · owns 75% or more
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
- Discretionary RAUM · $30.4M to $29.6MMar 14, 2016 to Mar 7, 2017
- RAUM · $30.4M to $29.6MMar 14, 2016 to Mar 7, 2017
- Discretionary RAUM · $31.0M to $30.4MFeb 23, 2015 to Mar 14, 2016
- RAUM · $31.0M to $30.4MFeb 23, 2015 to Mar 14, 2016
- Accounts · 13 to 16Mar 11, 2014 to Feb 23, 2015
- Financial planning clients · unset to 0Mar 11, 2014 to Feb 23, 2015
- State-registered IARs · 1 to 0Mar 11, 2014 to Feb 23, 2015
- Discretionary RAUM · $30.2M to $31.0MMar 11, 2014 to Feb 23, 2015
- RAUM · $30.2M to $31.0MMar 11, 2014 to Feb 23, 2015
- Accounts · 8 to 13Mar 8, 2013 to Mar 3, 2014
- Advisory activities · 3 to 2Mar 8, 2013 to Mar 3, 2014
- Financial planning clients · 1-10 to unsetMar 8, 2013 to Mar 3, 2014
- Discretionary RAUM · $32.2M to $30.2MMar 8, 2013 to Mar 3, 2014
- RAUM · $32.2M to $30.2MMar 8, 2013 to Mar 3, 2014
- Accounts · 11 to 8Jul 26, 2012 to Mar 8, 2013
- Advisory employees · unset to 1.0Jul 26, 2012 to Mar 8, 2013
- BD registered reps · unset to 0.0Jul 26, 2012 to Mar 8, 2013
- Employees · unset to 1.0Jul 26, 2012 to Mar 8, 2013
- State-registered IARs · unset to 1.0Jul 26, 2012 to Mar 8, 2013
- Discretionary RAUM · $31.2M to $32.2MJul 26, 2012 to Mar 8, 2013
- RAUM · $31.2M to $32.2MJul 26, 2012 to Mar 8, 2013
- Discretionary RAUM · $30.5M to $31.2MJul 23, 2012 to Jul 24, 2012
- Non-discretionary RAUM · $750,156 to $0Jul 23, 2012 to Jul 24, 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