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
E••••••• R••••••••• I••••••••• A•••••••• L••
Latest filing Mar 26, 2018
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$542M
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
7
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$542M as of Mar 26, 2018
Mar 30, 2012$14.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 26, 2018
Mar 31, 20146 then
Employees (5.A)7 as of Mar 26, 2018
Mar 31, 201410 then
Private funds: no history
RAUM +36% over the last fiscal year+180% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 26, 2018; every figure names its basis
- RAUM per advisor
- $90.3MderivedRAUM 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
- $368,903derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- selection of other advisers, otherreportedItem 5.G
- Custody
- $542M, 1,469 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
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$542M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1,469reported
- Charitable clients
- n/areported
- Accounts
- 1,469reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $542M for 1,469 clientsreported
- 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
- M••• S•••••• N••••••• to N•••••• G•••• C••••••••• L••Nov 27, 2018 · Other
- B••• R•••••• T•••••• to N•••••• G•••• C••••••••• L••Nov 26, 2018 · Other
- M••• A••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 2, 2016 · Other
- J•••• M••••••• P••••••• to C•••••• C••••• G••••• I•••Jun 10, 2015 · Other
- A••••• R••••••• O•••• to S•• I••••••••• I•••Jul 25, 2014 · Other
- J••• M• V•••• V•••• to S•• I••••••••• I•••Sep 23, 2011 · Other
Joined, latest
- J•••• M••••••• P••••••• from C•••••• C••••• G••••• I•••Jul 25, 2014 · Other
- M••• A••• S•••••• from M•• I•••••••• S•••••••• L••Nov 26, 2013 · Other
- J••• M• V•••• V•••• from C•••••• S••••• • C••• I•••Apr 8, 2011 · Other
- M••• S•••••• N••••••• from S••••••• I••••••••• A•••••••• I•••Nov 3, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for N•••••• G•••• C••••••••• L••Nov 26, 2018 · Appleton, Wi
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• M••••••• P•••••• · Managing Membercontrolsince 02/2010 · owns 75% or more
- N•••••••• M•••• S•••••• · Chief Compliance Officercontrolsince 02/2010 · owns less than 5%
Related persons
Schedule D 7.A
- P•• T•••• C••••••• I•••custodiany
Offices
Schedule D 1.F, the 25 largest
- Franklin, TN1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,217 to 1,469Mar 31, 2017 to Mar 26, 2018
- Pension plan clients · unset to 1469.0Mar 31, 2017 to Mar 26, 2018
- Assets in custody · $397M to $542MMar 31, 2017 to Mar 26, 2018
- Employees · 8 to 7Mar 31, 2017 to Mar 26, 2018
- State-registered IARs · 7 to 6Mar 31, 2017 to Mar 26, 2018
- Other offices · unset to 2.0Mar 31, 2017 to Mar 26, 2018
- Discretionary RAUM · $397M to $542MMar 31, 2017 to Mar 26, 2018
- Pension RAUM · unset to 541919150.0Mar 31, 2017 to Mar 26, 2018
- RAUM · $397M to $542MMar 31, 2017 to Mar 26, 2018
- Accounts · 778 to 1,217Mar 30, 2016 to Mar 31, 2017
- Advisory employees · 5 to 6Mar 30, 2016 to Mar 31, 2017
- Assets in custody · $206M to $397MMar 30, 2016 to Mar 31, 2017
- Employees · 9 to 8Mar 30, 2016 to Mar 31, 2017
- State-registered IARs · 6 to 7Mar 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $206M to $397MMar 30, 2016 to Mar 31, 2017
- RAUM · $206M to $397MMar 30, 2016 to Mar 31, 2017
- Accounts · 270 to 778Jun 2, 2015 to Mar 30, 2016
- Advisory employees · 4 to 5Jun 2, 2015 to Mar 30, 2016
- Assets in custody · $24.8M to $206MJun 2, 2015 to Mar 30, 2016
- State-registered IARs · 8 to 6Jun 2, 2015 to Mar 30, 2016
- Discretionary RAUM · $33.8M to $206MJun 2, 2015 to Mar 30, 2016
- RAUM · $33.8M to $206MJun 2, 2015 to Mar 30, 2016
- Accounts · 205 to 270Mar 30, 2015 to Jun 2, 2015
- State-registered IARs · 7 to 8Mar 30, 2015 to Jun 2, 2015
- Discretionary RAUM · $24.8M to $33.8MMar 30, 2015 to Jun 2, 2015
- RAUM · $24.8M to $33.8MMar 30, 2015 to Jun 2, 2015
- Accounts · 94 to 205Mar 31, 2014 to Mar 30, 2015
- Advisory employees · 3 to 4Mar 31, 2014 to Mar 30, 2015
- Assets in custody · $9.9M to $24.8MMar 31, 2014 to Mar 30, 2015
- Employees · 10 to 9Mar 31, 2014 to Mar 30, 2015
- State-registered IARs · 6 to 7Mar 31, 2014 to Mar 30, 2015
- Discretionary RAUM · $6.9M to $24.8MMar 31, 2014 to Mar 30, 2015
- Non-discretionary RAUM · $3.0M to $0Mar 31, 2014 to Mar 30, 2015
- RAUM · $9.9M to $24.8MMar 31, 2014 to Mar 30, 2015
- Accounts · 87 to 94Feb 11, 2014 to Mar 31, 2014
- Assets in custody · $9.0M to $9.9MFeb 11, 2014 to Mar 31, 2014
- State-registered IARs · 9 to 6Feb 11, 2014 to Mar 31, 2014
- Discretionary RAUM · $6.0M to $6.9MFeb 11, 2014 to Mar 31, 2014
- Non-discretionary RAUM · $3.1M to $3.0MFeb 11, 2014 to Mar 31, 2014
- RAUM · $9.0M to $9.9MFeb 11, 2014 to Mar 31, 2014
Signals
2 dated events
- E••••••• R••••••••• I••••••••• A•••••••• L•• reported RAUM $541.9M, up 36% from $397.3M (2017-03-31 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
- E••••••• R••••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 31, 2014 · 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