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

J••••••• W••••• S••••••••• L••

Former SEC-registered adviserScottsdale, ArizonaCRD 155175SEC 801-71866IAPD
Latest filing Mar 9, 2017
First filing on the tape Feb 7, 2012 · 15 filings
RAUM
$173M
reported, Item 5.F
Discretionary
100%
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
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$173M as of Mar 9, 2017
Mar 26, 2012$94.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 9, 2017
Jan 22, 20133 then
Employees (5.A)7 as of Mar 9, 2017
Jan 22, 20134 then
Private funds: no history
RAUM +3.6% over the last fiscal year+6.8% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 9, 2017; every figure names its basis
RAUM per advisor
$28.8MderivedRAUM 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
$534,985derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
2.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+3.6%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
323reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    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
      • B•••• M••••••• C•••••• · Managing Membercontrol
        since 11/2010 · owns 50% to 75%
      • R•••••••• B••••• S•••• · Managing Membercontrol
        since 11/2010 · owns 50% to 75%
      • B•••••• J•••• A••••• · Chief Compliance Officer/Chief Fiduciary Officer
        since 08/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Lancaster, OH
      • Solana Beach, CA
      What changed
      consecutive filings, newest first
      • Accounts · 308 to 323
        Feb 5, 2016 to Mar 9, 2017
      • Advisory employees · 5 to 6
        Feb 5, 2016 to Mar 9, 2017
      • State-registered IARs · 5 to 6
        Feb 5, 2016 to Mar 9, 2017
      • Discretionary RAUM · $153M to $173M
        Feb 5, 2016 to Mar 9, 2017
      • Non-discretionary RAUM · $13.8M to $0
        Feb 5, 2016 to Mar 9, 2017
      • RAUM · $167M to $173M
        Feb 5, 2016 to Mar 9, 2017
      • Related broker-dealer · true to false
        Feb 5, 2016 to Mar 9, 2017
      • Related insurance company · true to false
        Feb 5, 2016 to Mar 9, 2017
      • Accounts · 259 to 308
        Jan 27, 2015 to Feb 5, 2016
      • Advisory employees · 6 to 5
        Jan 27, 2015 to Feb 5, 2016
      • Advisory activities · 3 to 4
        Jan 27, 2015 to Feb 5, 2016
      • Employees · 6 to 7
        Jan 27, 2015 to Feb 5, 2016
      • Financial planning clients · 1-10 to 0
        Jan 27, 2015 to Feb 5, 2016
      • Discretionary RAUM · $135M to $153M
        Jan 27, 2015 to Feb 5, 2016
      • Non-discretionary RAUM · $15.1M to $13.8M
        Jan 27, 2015 to Feb 5, 2016
      • RAUM · $150M to $167M
        Jan 27, 2015 to Feb 5, 2016
      • Accounts · 236 to 259
        Nov 14, 2014 to Jan 27, 2015
      • BD registered reps · 4 to 2
        Nov 14, 2014 to Jan 27, 2015
      • Financial planning clients · 0 to 1-10
        Nov 14, 2014 to Jan 27, 2015
      • Discretionary RAUM · $116M to $135M
        Nov 14, 2014 to Jan 27, 2015
      • Non-discretionary RAUM · $26.1M to $15.1M
        Nov 14, 2014 to Jan 27, 2015
      • RAUM · $142M to $150M
        Nov 14, 2014 to Jan 27, 2015
      • Related broker-dealer · false to true
        Nov 14, 2014 to Jan 27, 2015
      • Related insurance company · false to true
        Nov 14, 2014 to Jan 27, 2015
      • BD registered reps · 2 to 4
        May 16, 2014 to Aug 28, 2014
      • State-registered IARs · 4 to 5
        May 16, 2014 to Aug 28, 2014
      • Accounts · 193 to 236
        Nov 7, 2013 to Feb 3, 2014
      • Advisory employees · 4 to 6
        Nov 7, 2013 to Feb 3, 2014
      • Discretionary RAUM · $88.3M to $116M
        Nov 7, 2013 to Feb 3, 2014
      • Non-discretionary RAUM · $37.5M to $26.1M
        Nov 7, 2013 to Feb 3, 2014
      • RAUM · $126M to $142M
        Nov 7, 2013 to Feb 3, 2014
      • Advisory employees · 3 to 4
        Jan 22, 2013 to Nov 7, 2013
      • Advisory activities · 5 to 3
        Jan 22, 2013 to Nov 7, 2013
      • Employees · 4 to 6
        Jan 22, 2013 to Nov 7, 2013
      • State-registered IARs · 3 to 4
        Jan 22, 2013 to Nov 7, 2013
      • Accounts · 114 to 193
        May 23, 2012 to Jan 22, 2013
      • Advisory employees · unset to 3.0
        May 23, 2012 to Jan 22, 2013
      • Advisory activities · 4 to 5
        May 23, 2012 to Jan 22, 2013
      • BD registered reps · unset to 2.0
        May 23, 2012 to Jan 22, 2013
      • Employees · unset to 4.0
        May 23, 2012 to Jan 22, 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