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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SEC-registered adviser
V••••••••• W••••• M••••••••• C••••
Latest filing Aug 28, 2026
First filing on the tape Nov 10, 2011 · 99 filings
SEC status approved since Jun 21, 2010
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
99 filings and snapshots on the tape
RAUM$0 as of Aug 28, 2026
Apr 1, 2013$9.5B then
HNW client RAUM$8.0B as of Mar 31, 2022
Mar 29, 2018$1.4B then
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Mar 30, 20120 then
Employees (5.A)0 as of Aug 28, 2026
Apr 1, 2013625 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- selection of other advisersreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
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
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
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••••• T••••••• R••••• · Chief Operations Officercontrolsince 11/2023 · owns less than 5%
- P••••• J••••• D••• · Chairman, Directorcontrolsince 11/2016 · owns less than 5%
- S••••••••• M••••••• A••• · Chief Executive Officer, President, Directorcontrolsince 03/2019 · owns less than 5%
- B••••••••• M•••••• R•••• · Trusteecontrolsince 06/2006 · owns 25% to 50% of T•• B•••••••• F••••• 2••• T••••
- B••••••••• M•••••• R•••• · General Partnercontrolsince 02/2014 · owns F of R•• G••••• L•
- B••••••••• M•••••• R•••• · Membercontrolsince 08/2014 · owns 25% to 50% of R•• G••••• H••••• L••
- B••••••••• M•••••• R•••• · Investment Managercontrolsince 08/2014 · owns F of M•• I••• L••
- N•••••••• I••••• Y••••••••• · Svp, Chief Compliance Officersince 05/2022 · owns less than 5%
- S••••••• D••••• A••••• · Treasurersince 03/2021 · owns less than 5%
Entity owners
- O••••• I••• · Shareholderdirect · owns 75% or more
- A• A•••••• H••••••• G•• L•• · General Partnerindirect · owns F of A• A•••••• H•••••••• L•••
- A• A•••••• H•••••••• L••• · Shareholderindirect · owns 75% or more of A• I••••••••• C•••••••••
- A• I••••••••• C••••••••• · Shareholderindirect · owns 75% or more of O•••• F•••••••• S•••••••• I•••
- A• P••••• C••••••••• · Shareholderindirect · owns 75% or more of O•••• H•••••••• I•••
- M•• I••• L•• · Memberindirect · owns 25% to 50% of R•• G••••• H••••• L••
- O•••• F•••••••• S•••••••• I••• · Shareholderindirect · owns 75% or more of A• P••••• C•••••••••
- O•••• H•••••••• I••• · Shareholderindirect · owns 75% or more of O••••• I•••
- R•• A•••••• C•••••••• G• L•• · General Partnerindirect · owns F of R•• A•••••• C••••••••• L•••
- R•• A•••••• C••••••••• L••• · Shareholderindirect · owns 50% to 75% of A• A•••••• H•••••••• L•••
- R•• G••••• H••••• L•• · Limited Partnerindirect · owns 75% or more of R•• G••••• L•
- R•• G••••• L• · Limited Partnerindirect · owns 75% or more of R•• O•• F••• I• G•• L•
- R•• O•• F••• I• G•• L• · Limited Partnerindirect · owns 75% or more of R•• A•••••• C•••••••• G• L••
- T•• B•••••••• F••••• 2••• T•••• · Memberindirect · owns 75% or more of M•• I••• L••
Related persons
Schedule D 7.A
- A•••• P•••• A•••••••investment advisernRAUM $6.9B
- B•••• D•••••• F••••••••• L••investment advisernRAUM $441M
- H••••••• C•••••• B••••••••real estaten
- L•••••••• T••••••• • C•• I•••broker-dealern
- L•••••••• T••••••• A••••••••• I•••investment advisern
- L•••••••• T••••••• A•••• M••••••••• I••investment adviserpooled vehicle sponsornRAUM $6.7B
- O•••• A••••••• S•••••••• L••investment advisernRAUM $15B
- O•••• F•• I•••broker-dealerinvestment advisernRAUM $37B
- O•••• F•• I•••broker-dealerinvestment advisernRAUM $4.5B
- O•••• I••••••••• I•••broker-dealerinvestment adviserreal estatenRAUM $6.5B
- Sagep•••• Financial, Inc.broker-dealerinvestment adviserreal estatenRAUM $16B
- O•••• W•••••• I•••broker-dealerinvestment adviserreal estatenRAUM $235B
- P•••••• T••••• I•••n
Advisers that list V••••••••• W••••• M••••••••• C•••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 29, 2025 to Oct 20, 2025
- Accounts · unset to 0.0Nov 4, 2024 to Jan 24, 2025
- Discretionary RAUM · unset to 0.0Nov 4, 2024 to Jan 24, 2025
- Non-discretionary RAUM · unset to 0.0Nov 4, 2024 to Jan 24, 2025
- RAUM · unset to 0.0Nov 4, 2024 to Jan 24, 2025
- HQ city · PHOENIX to SCOTTSD•••Mar 28, 2024 to Jul 11, 2024
- BD registered reps · 471 to 0Feb 8, 2024 to Mar 28, 2024
- Employees · 1,629 to 0Feb 8, 2024 to Mar 28, 2024
- State-registered IARs · 499 to 0Feb 8, 2024 to Mar 28, 2024
- Accounts · 128490.0 to unsetNov 28, 2022 to Mar 31, 2023
- Advisory activities · 2 to 1Nov 28, 2022 to Mar 31, 2023
- BD registered reps · 359 to 471Nov 28, 2022 to Mar 31, 2023
- Charity clients · 167.0 to unsetNov 28, 2022 to Mar 31, 2023
- Corporate clients · 470.0 to unsetNov 28, 2022 to Mar 31, 2023
- HNW clients · 14613.0 to unsetNov 28, 2022 to Mar 31, 2023
- Individual clients · 81821.0 to unsetNov 28, 2022 to Mar 31, 2023
- Pension plan clients · 205.0 to unsetNov 28, 2022 to Mar 31, 2023
- Employees · 1,925 to 1,629Nov 28, 2022 to Mar 31, 2023
- State-registered IARs · 326 to 499Nov 28, 2022 to Mar 31, 2023
- Discretionary RAUM · 21118915717.0 to unsetNov 28, 2022 to Mar 31, 2023
- HNW RAUM · 8011583824.0 to unsetNov 28, 2022 to Mar 31, 2023
- Individual RAUM · 12314296055.0 to unsetNov 28, 2022 to Mar 31, 2023
- Non-discretionary RAUM · 0.0 to unsetNov 28, 2022 to Mar 31, 2023
- Pension RAUM · 122367859.0 to unsetNov 28, 2022 to Mar 31, 2023
- RAUM · 21118915717.0 to unsetNov 28, 2022 to Mar 31, 2023
- Wrap assets (manager) · 0.0 to unsetNov 28, 2022 to Mar 31, 2023
- Wrap assets (sponsor) · 0.0 to unsetNov 28, 2022 to Mar 31, 2023
- Accounts · 96,884 to 128,490Jul 20, 2021 to Mar 31, 2022
- BD registered reps · 286 to 359Jul 20, 2021 to Mar 31, 2022
- Charity clients · 144 to 167Jul 20, 2021 to Mar 31, 2022
- Corporate clients · 342 to 470Jul 20, 2021 to Mar 31, 2022
- HNW clients · 10,327 to 14,613Jul 20, 2021 to Mar 31, 2022
- Individual clients · 64,118 to 81,821Jul 20, 2021 to Mar 31, 2022
- Pension plan clients · 171 to 205Jul 20, 2021 to Mar 31, 2022
- Employees · 1,729 to 1,925Jul 20, 2021 to Mar 31, 2022
- State-registered IARs · 52 to 326Jul 20, 2021 to Mar 31, 2022
- Discretionary RAUM · $14B to $21BJul 20, 2021 to Mar 31, 2022
- HNW RAUM · $5.1B to $8.0BJul 20, 2021 to Mar 31, 2022
- Individual RAUM · $8.6B to $12BJul 20, 2021 to Mar 31, 2022
- Pension RAUM · $104M to $122MJul 20, 2021 to Mar 31, 2022
Signals
19 dated events
- V••••••••• W••••• M••••••••• C•••• reported 0 state-registered advisory representatives, down from 499 (2024-02-08 to 2024-03-28)Mar 28, 2024 · Advisor headcount change · derived
- Robert Timothy Hodge (Chief Operations Officer) appeared on Schedule A of V••••••••• W••••• M••••••••• C••••Dec 21, 2023 · Control person joined · fact
- Ann Cynthia Hamel (Chief Operations Officer) no longer on Schedule A of V••••••••• W••••• M••••••••• C•••• (listed 2023-09-18, absent 2023-12-21)Dec 21, 2023 · Control person left · inference
- V••••••••• W••••• M••••••••• C•••• reported 499 state-registered advisory representatives, up from 326 (2022-11-28 to 2023-03-31)Mar 31, 2023 · Advisor headcount change · derived
- Stephen Gregory Wastek (Director & Interim Chief Compliance Officer - Ia) no longer on Schedule A of V••••••••• W••••• M••••••••• C•••• (listed 2022-05-05, absent 2022-06-22)Jun 22, 2022 · Control person left · inference
- V••••••••• W••••• M••••••••• C•••• reported RAUM $21.1B, up 48% from $14.2B (2021-07-20 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- V••••••••• W••••• M••••••••• C•••• reported 326 state-registered advisory representatives, up from 52 (2021-07-20 to 2022-03-31)Mar 31, 2022 · Advisor headcount change · derived
- Nina Mckenna (Secretary) no longer on Schedule A of V••••••••• W••••• M••••••••• C•••• (listed 2021-04-22, absent 2021-05-14)May 14, 2021 · Control person left · inference
- Stephen Gregory Wastek (Director & Interim Chief Compliance Officer) appeared on Schedule A of V••••••••• W••••• M••••••••• C••••Apr 22, 2021 · Control person joined · fact
- John Robert Guldner (Chief Compliance Officer Investment Advisory And Director) no longer on Schedule A of V••••••••• W••••• M••••••••• C•••• (listed 2021-03-30, absent 2021-04-22)Apr 22, 2021 · Control person left · inference
- V••••••••• W••••• M••••••••• C•••• reported 52 state-registered advisory representatives, down from 160 (2020-12-18 to 2021-03-30)Mar 30, 2021 · Advisor headcount change · derived
- V••••••••• W••••• M••••••••• C•••• reported RAUM $14.2B, up 57% from $9.1B (2020-12-18 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Ralph Milton Berlinski (General Partner) appeared on Schedule A of V••••••••• W••••• M••••••••• C••••Jun 26, 2020 · Control person joined · fact
- V••••••••• W••••• M••••••••• C•••• reported 160 state-registered advisory representatives, up from 120 (2020-03-17 to 2020-03-30)Mar 30, 2020 · Advisor headcount change · derived
- V••••••••• W••••• M••••••••• C•••• reported RAUM $9.1B, up 61% from $5.6B (2020-03-17 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- V••••••••• W••••• M••••••••• C•••• reported 120 state-registered advisory representatives, down from 157 (2019-03-12 to 2019-03-28)Mar 28, 2019 · Advisor headcount change · derived
- Adam Matthew Schlueter (Director, Evp) appeared on Schedule A of V••••••••• W••••• M••••••••• C••••Mar 28, 2019 · Control person joined · fact
- V••••••••• W••••• M••••••••• C•••• reported RAUM $5.6B, up 30% from $4.3B (2019-03-12 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- V••••••••• W••••• M••••••••• C•••• reported RAUM $4.3B, up 90% from $2.3B (2017-10-27 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 800-552-3319reportedpublic record, Form ADV, Aug 28, 2026
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
- No RAUM reportedderiveda 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