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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••••• C•••••• C••••••••• L••

Former SEC-registered adviserNew Orleans, LouisianaCRD 154925SEC 801-71795IAPD
Latest filing Jan 19, 2022
First filing on the tape Mar 15, 2012 · 30 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
49%
$584M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.2B as of Feb 22, 2021
Mar 15, 2012$1.7B then
HNW client RAUM$576M as of Feb 22, 2021
Feb 9, 2018$219M then
State-registered IARs (5.B.3)1 as of Feb 22, 2021
Mar 15, 20120 then
Employees (5.A)18 as of Feb 22, 2021
Mar 27, 201313 then
Private funds: no history
RAUM +59% over the last fiscal year+26% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Jan 19, 2022; every figure names its basis
RAUM per advisor
$1.2BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
145derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.6MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
85%derivedof RAUM
Institutional
37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
18.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+59%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+27%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$73.6M, 57 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$576M48%
  • Charitable organizations$434M36%
  • Corporations and businesses$177M15%
  • Pension and profit-sharing plans$8.2M0.7%
  • Individuals$8.2M0.7%
Individual clients
20reported
HNW clients
125reported
Pension plan clients
4reported
Charitable clients
33reported
Accounts
842reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$73.6M for 57 clientsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F••••••••• B••••• W• · Member, Director, Evp-Developmentcontrol
      since 02/2014 · owns less than 5%
    • G••••• S•••••••• B••••• · Chief Compliance Officercontrol
      since 05/2018 · owns less than 5%
    • W•••••• A•••••• B••• · Managing Member, Director & Presidentcontrol
      since 08/2010 · owns 50% to 75%
    • Z•••••••• L•••• C•••••• · Member, Director, Evp-Operationscontrol
      since 08/2010 · owns 25% to 50%
    • F••••••••• B••••• W• · Interest Holder, Managing Membercontrol
      since 01/2017 · owns 75% or more of R•••••• I••••••••• L••
    Entity owners
    • R•••••• I••••••••• L•• · Interest Holder
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Feb 22, 2021 to Jan 19, 2022
    • Related broker-dealer · false to true
      Feb 22, 2021 to Jan 19, 2022
    • Accounts · 698 to 842
      Oct 20, 2020 to Feb 22, 2021
    • Advisory employees · 14 to 15
      Oct 20, 2020 to Feb 22, 2021
    • Charity clients · 29 to 33
      Oct 20, 2020 to Feb 22, 2021
    • Corporate clients · 10 to 26
      Oct 20, 2020 to Feb 22, 2021
    • HNW clients · 89 to 125
      Oct 20, 2020 to Feb 22, 2021
    • Individual clients · 25 to 20
      Oct 20, 2020 to Feb 22, 2021
    • Pension plan clients · unset to 4.0
      Oct 20, 2020 to Feb 22, 2021
    • Assets in custody · $67.8M to $73.6M
      Oct 20, 2020 to Feb 22, 2021
    • Employees · 15 to 18
      Oct 20, 2020 to Feb 22, 2021
    • State-registered IARs · 0 to 1
      Oct 20, 2020 to Feb 22, 2021
    • Discretionary RAUM · $610M to $1.0B
      Oct 20, 2020 to Feb 22, 2021
    • HNW RAUM · $309M to $576M
      Oct 20, 2020 to Feb 22, 2021
    • Individual RAUM · $7.4M to $8.2M
      Oct 20, 2020 to Feb 22, 2021
    • Non-discretionary RAUM · $147M to $179M
      Oct 20, 2020 to Feb 22, 2021
    • Pension RAUM · $7.0M to $8.2M
      Oct 20, 2020 to Feb 22, 2021
    • RAUM · $757M to $1.2B
      Oct 20, 2020 to Feb 22, 2021
    • Advisory employees · 12 to 14
      Jun 1, 2020 to Jun 16, 2020
    • Employees · 13 to 15
      Jun 1, 2020 to Jun 16, 2020
    • Accounts · 648 to 698
      Apr 25, 2019 to Mar 19, 2020
    • Advisory employees · 13 to 12
      Apr 25, 2019 to Mar 19, 2020
    • Charity clients · 28 to 29
      Apr 25, 2019 to Mar 19, 2020
    • Corporate clients · 11 to 10
      Apr 25, 2019 to Mar 19, 2020
    • HNW clients · 78 to 89
      Apr 25, 2019 to Mar 19, 2020
    • Assets in custody · $65.1M to $67.8M
      Apr 25, 2019 to Mar 19, 2020
    • Employees · 15 to 13
      Apr 25, 2019 to Mar 19, 2020
    • State-registered IARs · 2 to 0
      Apr 25, 2019 to Mar 19, 2020
    • Discretionary RAUM · $326M to $610M
      Apr 25, 2019 to Mar 19, 2020
    • HNW RAUM · $207M to $309M
      Apr 25, 2019 to Mar 19, 2020
    • Individual RAUM · $12.3M to $7.4M
      Apr 25, 2019 to Mar 19, 2020
    • Non-discretionary RAUM · $291M to $147M
      Apr 25, 2019 to Mar 19, 2020
    • Pension RAUM · $6.1M to $7.0M
      Apr 25, 2019 to Mar 19, 2020
    • RAUM · $618M to $757M
      Apr 25, 2019 to Mar 19, 2020
    • Accounts · 591 to 648
      Jun 4, 2018 to Mar 26, 2019
    • Advisory employees · 12 to 13
      Jun 4, 2018 to Mar 26, 2019
    • Charity clients · 24 to 28
      Jun 4, 2018 to Mar 26, 2019
    • Corporate clients · 9 to 11
      Jun 4, 2018 to Mar 26, 2019
    • HNW clients · 77 to 78
      Jun 4, 2018 to Mar 26, 2019
    • Individual clients · 26 to 25
      Jun 4, 2018 to Mar 26, 2019
    Signals
    4 dated events
    • E•••• R•••••• R•••••••• left C••••••• C•••••• C••••••••• L•• for C••••••• (registered 2022-03-01)
      Mar 29, 2022 · Advisor changed firm · fact
    • A••••• B••• W••••• left C••••••• C•••••• C••••••••• L•• for C••••••• (registered 2022-01-21)
      Mar 29, 2022 · Advisor changed firm · fact
    • 2 advisors left C••••••• C•••••• C••••••••• L•• (New Orleans, LA) for C••••••• on the same day
      Mar 29, 2022 · Team lift-out · derived
    • C••••••• C•••••• C••••••••• L•• reported RAUM $1.2B, up 59% from $757.3M (2020-10-20 to 2021-02-22)
      Feb 22, 2021 · 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.
    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