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
I•••••••• C•••••• P•••••••• L••
Latest filing Oct 31, 2012
First filing on the tape Apr 2, 2012 · 6 filings
RAUM
$30.8M
reported, Item 5.F
Discretionary
0.8%
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$30.8M as of Oct 31, 2012
Apr 2, 2012$30.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Oct 31, 2012
Apr 2, 20120 then
Employees (5.A): 2
Private funds1 as of Jun 28, 2012
Apr 2, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 31, 2012; every figure names its basis
- RAUM per advisor
- $15.4MderivedRAUM 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
- $10.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.8%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- controlled by a public reporting company (10.A)
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
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- R••••• W•••••• S••••••••• to H•••••••• R••• P•••••••• L••Dec 31, 2014 · Other
- M•••••• M•••••• M••••••• to C•••••• S•••••• P•••••••Feb 20, 2014 · Other
- A•••••• C••••••••• R•••• to C•••••• S•••••• P•••••••Feb 20, 2014 · Other
- J••••••• P••• S•••••• to C•••••• S•••••• P•••••••Feb 20, 2014 · Other
Joined, latest
- R••••• W•••••• S••••••••• from H•••••••• R••• P•••••••• L••Dec 4, 2012 · Other
- A•••••• C••••••••• R•••• from M•• I•••••••• S•••••••• L••Aug 10, 2012 · Other
- J••••••• P••• S•••••• from M•• I•••••••• S•••••••• L••Jul 16, 2012 · Other
- M•••••• M•••••• M••••••• from O••••••••• S••••••••• I•••Jul 11, 2012 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•• P•••••• A••••••••• F••• I• L• | Hedge Fund | $0 | 0 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• K••••• T•••••• · Sole Owner, Member, And Managercontrolsince 06/2010 · owns 75% or more
- S••••••••• R•••••• W•••••• · Director And Chief Compliance Officercontrolsince 09/2012 · owns less than 5%
Related persons
Schedule D 7.A
- R••••• W• S•••••••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · unset to 2.0Oct 9, 2012 to Oct 31, 2012
- Employees · unset to 2.0Oct 9, 2012 to Oct 31, 2012
- State-registered IARs · 0 to 2Oct 9, 2012 to Oct 31, 2012
- Insurance-licensed employees · 0 to 1Sep 12, 2012 to Oct 9, 2012
- Related adviser · false to trueSep 12, 2012 to Oct 9, 2012
- Advisory activities · 1 to 2Jun 28, 2012 to Aug 8, 2012
- Assets in custody · 250000.0 to unsetJun 28, 2012 to Aug 8, 2012
- Custody of client assets · true to falseJun 28, 2012 to Aug 8, 2012
- Private funds · 1 to unsetJun 28, 2012 to Aug 8, 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