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
S•• O•••• P••• P•••••
Latest filing Feb 6, 2014
First filing on the tape Feb 24, 2012 · 4 filings
RAUM
$135M
reported, Item 5.F
Discretionary
96%
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
1
1 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$135M as of Feb 6, 2014
Feb 24, 2012$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 6, 2014
Feb 24, 20120 then
Employees (5.A)1 as of Feb 6, 2014
Feb 8, 20131 then
Private funds: no history
RAUM -3.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 6, 2014; every figure names its basis
- RAUM per advisor
- $135MderivedRAUM 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
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%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 institutionsreportedItem 5.G
- Custody
- $60.0M, 4 clientsreportedItem 9.A
- 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 a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
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
- 65reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.0M for 4 clientsreported
- 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
- P••• P••••• S••••• to G• • W•••• L••Oct 3, 2014 · Other
Joined, latest
- P••• P••••• S••••• from P••• P• S•• O••• C••••••Aug 1, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• P•••• P••••• · Chief Compliance Officercontrolsince 01/1983 · owns 75% or more
Related persons
Schedule D 7.A
- P••• P• S•• O••• C••••••broker-dealery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 90 to 65Feb 8, 2013 to Feb 6, 2014
- Discretionary RAUM · $135M to $130MFeb 8, 2013 to Feb 6, 2014
- RAUM · $140M to $135MFeb 8, 2013 to Feb 6, 2014
- Accounts · 95 to 90Aug 1, 2012 to Feb 8, 2013
- Advisory employees · unset to 1.0Aug 1, 2012 to Feb 8, 2013
- BD registered reps · unset to 1.0Aug 1, 2012 to Feb 8, 2013
- Assets in custody · $70.0M to $60.0MAug 1, 2012 to Feb 8, 2013
- Employees · unset to 1.0Aug 1, 2012 to Feb 8, 2013
- State-registered IARs · 0 to 1Aug 1, 2012 to Feb 8, 2013
- Discretionary RAUM · $140M to $135MAug 1, 2012 to Feb 8, 2013
- Non-discretionary RAUM · $10.0M to $5.0MAug 1, 2012 to Feb 8, 2013
- RAUM · $150M to $140MAug 1, 2012 to Feb 8, 2013
- Related broker-dealer · false to trueFeb 24, 2012 to Aug 1, 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