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
P•••••••• D••••••••• I••••••••• S••••••• C••••
Latest filing May 8, 2012
First filing on the tape Feb 17, 2012 · 4 filings
RAUM
$220M
reported, Item 5.F
Discretionary
87%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$220M as of May 8, 2012
Feb 17, 2012$201M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 8, 2012
Feb 17, 20120 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 May 8, 2012; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $143,851derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
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
- 1,526reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- T•••••• T••••• B••••• to H•••• I••••••••• M••••••••• I•••Sep 12, 2012 · Other
- D•••• P•••• P••••• to C•••• A•••••••• L••Jul 20, 2012 · Other
- J•••• A••• D••••••• to I••••••••• F•••••••• P•••••••Jul 20, 2012 · Other
- M•••••• M•••••••• to W•••• E••••• G••••• I•••Jul 20, 2012 · Other
- S•••• A••• S••••••• to I••••••••• F•••••••• P•••••••Jul 20, 2012 · Other
- G•• J•••• A•••••• to W•••• E••••• G••••• I•••Jul 20, 2012 · Other
- J•••••• R••••• W••• to I••••••••• F•••••••• P•••••••Jul 20, 2012 · Other
- J••• G•••••• T•••••• S••••• to C•••• A•••••••• L••Jul 20, 2012 · Other
- M•••••• C•••• C••••••• to W•••• E••••• G••••• I•••Jul 20, 2012 · Other
- E••••• O•••• C•••••• to I••••••••• F•••••••• P•••••••Jul 20, 2012 · Other
- H••••• T•• C••• to W•••• E••••• G••••• I•••Jul 12, 2012 · Other
- E••• L•••• W••• to I••••••••• F•••••••• P•••••••Jul 12, 2012 · Other
- M•••••• L•• L••••• to J•• C•••••• A•••••••• L••Jul 12, 2012 · Other
Joined, latest
- M•••••• L•• L••••• from W•••• E••••• G••••• I•••Jul 9, 2012 · Other
- J•••• A••• D••••••• from N••••••••• M••••• I••••••••• S•••••••••Jan 9, 2012 · Other
- M•••••• C•••• C••••••• from B••••• I••••••••• A••••••• L••Aug 31, 2011 · Other
- M•••••• M•••••••• from C••••••••• C•••••• A•••••••May 4, 2011 · Other
- D•••• P•••• P••••• from C••••••••• C•••••• A•••••••May 2, 2011 · Other
- H••••• T•• C••• from C••••••••• C•••••• A•••••••May 2, 2011 · Other
- S•••• A••• S••••••• from C••••••••• C•••••• A•••••••May 2, 2011 · Other
- G•• J•••• A•••••• from C••••••••• C•••••• A•••••••May 2, 2011 · Other
- J•••••• R••••• W••• from C••••••••• C•••••• A•••••••May 2, 2011 · Other
- E••• L•••• W••• from C••••••••• C•••••• A•••••••May 2, 2011 · Other
- J••• G•••••• T•••••• S••••• from C••••••••• C•••••• A•••••••May 2, 2011 · Other
- E••••• O•••• C•••••• from A••••••••• F•••••••• S•••••••• L••Mar 21, 2011 · Other
- T•••••• T••••• B••••• from M••••• C•••••• A•••••••• L••Feb 16, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• N•••• J•••••• · Chairman/D•••••Orcontrolsince 05/2011 · owns less than 5%
- L••••••••• M•••• J••• · President And Coocontrolsince 03/2011 · owns less than 5%
- T•••••••• R••• · Chief Compliance Officercontrolsince 11/2010 · owns less than 5%
- W••••••••• R••••••• R• · D•••••Orcontrolsince 05/2011 · owns less than 5%
- W••••••••• R••••••• R•••• · D•••••Orcontrolsince 05/2011 · owns 75% or more
- W••••••••• R••••••• R•••• · Ownercontrolsince 09/1992 · owns 75% or more of P•••••••• F•••••••• G••••• I•••
Entity owners
- P•••••••• F•••••••• G••••• I••• · Corporationdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••• D••••• S••••••••• L••broker-dealern
- C••••• L••trust companyn
- P•••••••• A•••• M••••••••• I•••bankn
- P•••••••• C•••••• A•••••••• I••investment advisern
- P•••••••• F•••••••• G•••• C•••••• I•••trust companyn
- P•••••••• F•••••••• G••••• I•••trust companyy
Advisers that list P•••••••• D••••••••• I••••••••• S••••••• C•••• as a related person
- 156341 n
Offices
Schedule D 1.F, the 25 largest
- Fayetteville, NC
- Olathe, KS
- Plano, TX
- Terrell, TX
- Wayne, PA
What changed
consecutive filings, newest first
- Accounts · 1,481 to 1,526Feb 17, 2012 to Mar 30, 2012
- Discretionary RAUM · $155M to $190MFeb 17, 2012 to Mar 30, 2012
- Non-discretionary RAUM · $46.0M to $29.1MFeb 17, 2012 to Mar 30, 2012
- RAUM · $201M to $220MFeb 17, 2012 to Mar 30, 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