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
D••••••• C•••••• A•••••••• L••
Latest filing Mar 27, 2014
First filing on the tape Mar 30, 2012 · 5 filings
RAUM
$65.8M
reported, Item 5.F
Discretionary
64%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$65.8M as of Mar 27, 2014
Mar 30, 2012$107M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 27, 2014
Mar 30, 20120 then
Employees (5.A)4 as of Mar 27, 2014
Apr 1, 20134 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2014; every figure names its basis
- RAUM per advisor
- $21.9MderivedRAUM 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
- $353,944derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- 186reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
- N••••• B•••• H•••••• to M••••• S••••••Jul 7, 2016 · Other
- R••••• S•••••• B••••• to M••••• S••••••May 9, 2016 · Other
- A•••••• J•••• L••••• to V••• W••••• • B•••••• S•••••••• L••May 29, 2015 · Other
Joined, latest
- R••••• S•••••• B••••• from B•• I••••••••• M••••••••• I•••Feb 25, 2011 · Other
- A•••••• J•••• L••••• from B•• I••••••••• M••••••••• I•••Nov 29, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••••• S•••••• · Ceocontrolsince 05/2010 · owns less than 5%
- M•••••• M••• F••••••• · Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- B•••••• R•••••• S•••••• · Ceocontrolsince 03/2011 · owns 25% to 50% of D••••••• F•••••••• S•••••••• L••
- T••••••••• C•••• D•••• · Principalcontrolsince 03/2011 · owns 25% to 50% of D••••••• F•••••••• S•••••••• L••
Entity owners
- D••••••• F•••••••• S•••••••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••• T•••••••••y
- D••••••• C•••••• S••••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 194 to 186Jun 24, 2013 to Mar 27, 2014
- Discretionary RAUM · $30.5M to $42.3MJun 24, 2013 to Mar 27, 2014
- Non-discretionary RAUM · $26.6M to $23.5MJun 24, 2013 to Mar 27, 2014
- RAUM · $57.1M to $65.8MJun 24, 2013 to Mar 27, 2014
- Accounts · 258 to 194Mar 30, 2012 to Apr 1, 2013
- Advisory employees · unset to 3.0Mar 30, 2012 to Apr 1, 2013
- Employees · unset to 4.0Mar 30, 2012 to Apr 1, 2013
- State-registered IARs · 0 to 3Mar 30, 2012 to Apr 1, 2013
- Discretionary RAUM · $57.8M to $30.5MMar 30, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $49.6M to $26.6MMar 30, 2012 to Apr 1, 2013
- RAUM · $107M to $57.1MMar 30, 2012 to Apr 1, 2013
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