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

R•••••• C•••••• M••••••••• L••

Former SEC-registered adviserSioux Falls, South DakotaCRD 154965SEC 801-71834IAPD
Latest filing Jan 17, 2012
First filing on the tape Dec 5, 2011 · 3 filings
RAUM
$57.5M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$28.7M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$57.5M as of Jan 17, 2012
Dec 5, 2011$61.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 17, 2012
Dec 5, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 17, 2012; every figure names its basis
RAUM per advisor
$28.7MderivedRAUM 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
$237,426derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.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
242reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D••••• G•••• O••••Sioux Falls, SdFeb 21, 201237 y3
A••• L•• M•••••Sioux Falls, SdFeb 21, 201228 y3
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• A•••• L•• · Partner And Managing Membercontrol
      since 08/2010 · owns less than 5%
    • M•••••• R••••• D•••• · Partner And Managing Membercontrol
      since 08/2010 · owns less than 5%
    • O••••• D•••••• G•••• · Partner, Managing Member And Chief Compliance Officercontrol
      since 08/2010 · owns 50% to 75%
    • M•••••• A•••• L•• · Ownercontrol
      since 12/2004 · owns 50% to 75% of M••••• A•••• M••••••••• I•••
    • M•••••• R••••• D• · Ownercontrol
      since 03/2007 · owns 25% to 50% of M••••• A•••• M••••••••• I•••
    Entity owners
    • M••••• A•••• M••••••••• I••• · Member
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Sioux Falls, Sd · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 271 to 242
      Dec 5, 2011 to Jan 17, 2012
    • Insurance-licensed employees · unset to 0.0
      Dec 5, 2011 to Jan 17, 2012
    • Discretionary RAUM · $58.7M to $47.7M
      Dec 5, 2011 to Jan 17, 2012
    • Non-discretionary RAUM · $3.2M to $9.7M
      Dec 5, 2011 to Jan 17, 2012
    • RAUM · $61.9M to $57.5M
      Dec 5, 2011 to Jan 17, 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.
    How to reach
    public business contact points only, each with its source
    Website
    R••••••CM.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $28.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026