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

H••••• Z••••• F•••••••• S•••••••• I•••

Former SEC-registered adviserBethesda, MarylandCRD 156312SEC 801-72288IAPD
Latest filing Mar 28, 2013
First filing on the tape Jan 13, 2012 · 8 filings
RAUM
$84.7M
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$84.7M as of Mar 28, 2013
Jan 13, 2012$93.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Jan 13, 20120 then
Employees (5.A): 1
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; 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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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, commissionsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$84.7M, 65 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.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
$84.7M for 65 clientsreported
Compensation
% of AUM, commissionsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Z•••••• H••••• · President/Chief Compliance Officercontrol
    since 01/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 73 to 65
    Sep 13, 2012 to Mar 28, 2013
  • Advisory employees · unset to 1.0
    Sep 13, 2012 to Mar 28, 2013
  • Assets in custody · $93.4M to $84.7M
    Sep 13, 2012 to Mar 28, 2013
  • Employees · unset to 1.0
    Sep 13, 2012 to Mar 28, 2013
  • Discretionary RAUM · $93.4M to $84.7M
    Sep 13, 2012 to Mar 28, 2013
  • RAUM · $93.4M to $84.7M
    Sep 13, 2012 to Mar 28, 2013
  • Assets in custody · 93445000.0 to unset
    Aug 27, 2012 to Sep 13, 2012
  • Custody of client assets · true to false
    Aug 27, 2012 to Sep 13, 2012
  • Assets in custody · unset to 93445000.0
    Sep 13, 2012 to Sep 13, 2012
  • Custody of client assets · false to true
    Sep 13, 2012 to Sep 13, 2012
  • Assets in custody · unset to 93445000.0
    Aug 8, 2012 to Aug 27, 2012
  • Custody of client assets · false to true
    Aug 8, 2012 to Aug 27, 2012
  • Advisory activities · 2 to 1
    Jun 22, 2012 to Aug 8, 2012
  • Financial planning clients · unset to 0
    Jun 22, 2012 to Aug 8, 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