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••••• T•••••• H••••• • B•••••• A•••••••
Legal name C••••• T•••••• H••••• • B•••••• A•••••••• I•••
Latest filing Feb 17, 2016
First filing on the tape Dec 23, 2011 · 21 filings
RAUM
$188M
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
17
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$188M as of Dec 22, 2015
Dec 23, 2011$170M then
HNW client RAUM: no history
State-registered IARs (5.B.3)11 as of Dec 22, 2015
Dec 23, 20110 then
Employees (5.A)17 as of Dec 22, 2015
Dec 21, 201218 then
Private funds: no history
RAUM -7.5% over the last fiscal year-0.2% a year over threeIARs 12 to 11
Practice profile
derived from the filing of Feb 17, 2016; every figure names its basis
- RAUM per advisor
- $17.1MderivedRAUM 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
- $172,539derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- 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
- 1,090reported
- Financial planning clients
- n/areported
- 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
- E•••••••• J••••• M•••••• to K••••• A••••••• S•••••••• L••Dec 31, 2016 · Other
- J•••••• A•••• B•••••• to K••••• A••••••• S•••••••• L••Dec 31, 2016 · Other
- D••••• G•••• to K••••• A••••••• S•••••••• L••Dec 31, 2016 · Other
- P•••• G••••• C•••••• to K••••• A••••••• S•••••••• L••Dec 31, 2016 · Other
- J••••• S••••• A••••• to C••••••••• S••••••••• L••Jul 12, 2012 · Other
- T•••••• L••••• P••••• to V•••••• S••••••••• I•••May 24, 2011 · Other
Joined, latest
- D••••• G•••• from M••••• S••••••Aug 16, 2013 · Other
- E•••••••• J••••• M•••••• from C••••• T•••••• H•••••• • B••••••• I•••Nov 17, 2010 · Other
- J•••••• A•••• B•••••• from C••••• T•••••• H•••••• • B••••••• I•••Nov 17, 2010 · Other
- T•••••• L••••• P••••• from C••••• T•••••• H•••••• • B••••••• I•••Nov 16, 2010 · Other
- J••••• S••••• A••••• from C••••• T•••••• H•••••• • B••••••• I•••Nov 12, 2010 · Other
- P•••• G••••• C•••••• from C••••• T•••••• H•••••• • B••••••• I•••Nov 12, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for K••••• A••••••• S•••••••• L••Dec 31, 2016 · Wichita, Ks · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••••• A•••• · Treasurer, Cfocontrolsince 09/2010 · owns less than 5%
- C••••• J•••• R•••• · Presidentcontrolsince 09/2010 · owns less than 5%
- H•••••• T•••••• P••• · Vice President, Secretarycontrolsince 09/2010 · owns less than 5%
- T•••••• S••••••• D•••••• · Vice President, Chief Compliance Officercontrolsince 09/2010 · owns less than 5%
- B••••••• J••••••• A•••• · Treasurercontrolsince 11/2004 · owns 25% to 50% of C••• I••••••••• I•••
- C••••• J•••• R•••• · Presidentcontrolsince 05/2001 · owns 25% to 50% of C••• I••••••••• I•••
- H•••••• T•••••• P••• · Secretarycontrolsince 11/2004 · owns 25% to 50% of C••• I••••••••• I•••
- T•••••• S••••••• D•••••• · Vice Presidentcontrolsince 05/2001 · owns 25% to 50% of C••• I••••••••• I•••
Entity owners
- C••• I••••••••• I••• · Shareholerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••• T•••••• H•••••• • B••••••• I•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,100 to 1,090Sep 2, 2015 to Dec 22, 2015
- Advisory employees · 12 to 11Sep 2, 2015 to Dec 22, 2015
- BD registered reps · 14 to 13Sep 2, 2015 to Dec 22, 2015
- Employees · 18 to 17Sep 2, 2015 to Dec 22, 2015
- State-registered IARs · 12 to 11Sep 2, 2015 to Dec 22, 2015
- Discretionary RAUM · $189M to $188MSep 2, 2015 to Dec 22, 2015
- RAUM · $189M to $188MSep 2, 2015 to Dec 22, 2015
- Accounts · 1,210 to 1,100Apr 7, 2015 to Sep 2, 2015
- Discretionary RAUM · $202M to $189MApr 7, 2015 to Sep 2, 2015
- Non-discretionary RAUM · $1.2M to $0Apr 7, 2015 to Sep 2, 2015
- RAUM · $203M to $189MApr 7, 2015 to Sep 2, 2015
- Accounts · 1,184 to 1,210Jun 2, 2014 to Dec 24, 2014
- Advisory employees · 13 to 12Jun 2, 2014 to Dec 24, 2014
- State-registered IARs · 13 to 12Jun 2, 2014 to Dec 24, 2014
- Discretionary RAUM · $203M to $202MJun 2, 2014 to Dec 24, 2014
- Non-discretionary RAUM · $1.9M to $1.2MJun 2, 2014 to Dec 24, 2014
- RAUM · $205M to $203MJun 2, 2014 to Dec 24, 2014
- Accounts · 1,099 to 1,184Aug 21, 2013 to Dec 18, 2013
- Advisory employees · 17 to 13Aug 21, 2013 to Dec 18, 2013
- BD registered reps · 13 to 14Aug 21, 2013 to Dec 18, 2013
- State-registered IARs · 12 to 13Aug 21, 2013 to Dec 18, 2013
- Discretionary RAUM · $187M to $203MAug 21, 2013 to Dec 18, 2013
- Non-discretionary RAUM · $1.8M to $1.9MAug 21, 2013 to Dec 18, 2013
- RAUM · $189M to $205MAug 21, 2013 to Dec 18, 2013
- Accounts · 985 to 1,099Sep 5, 2012 to Dec 21, 2012
- Advisory employees · unset to 17.0Sep 5, 2012 to Dec 21, 2012
- Advisory activities · 5 to 4Sep 5, 2012 to Dec 21, 2012
- BD registered reps · unset to 13.0Sep 5, 2012 to Dec 21, 2012
- Employees · unset to 18.0Sep 5, 2012 to Dec 21, 2012
- Financial planning clients · 1-10 to unsetSep 5, 2012 to Dec 21, 2012
- State-registered IARs · 0 to 12Sep 5, 2012 to Dec 21, 2012
- Discretionary RAUM · $186M to $187MSep 5, 2012 to Dec 21, 2012
- Non-discretionary RAUM · $1.8M to $1.8MSep 5, 2012 to Dec 21, 2012
- RAUM · $188M to $189MSep 5, 2012 to Dec 21, 2012
- Accounts · 945 to 985Feb 23, 2012 to Feb 23, 2012
- Discretionary RAUM · $168M to $186MFeb 23, 2012 to Feb 23, 2012
- Non-discretionary RAUM · $1.7M to $1.8MFeb 23, 2012 to Feb 23, 2012
- RAUM · $170M to $188MFeb 23, 2012 to Feb 23, 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