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
C•• F•••••••• A•••••••• L••
Latest filing Mar 7, 2016
First filing on the tape Feb 14, 2013 · 7 filings
RAUM
$155M
reported, Item 5.F
Discretionary
99%
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$155M as of Mar 7, 2016
Mar 26, 2013$125M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 7, 2016
Mar 26, 20134 then
Employees (5.A)5 as of Mar 7, 2016
Mar 26, 20136 then
Private funds: no history
RAUM -8.9% over the last fiscal year+7.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 7, 2016; every figure names its basis
- RAUM per advisor
- $51.6MderivedRAUM 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
- $107,965derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.9%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 assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- is an insurance broker or agent (6.A.6)
- 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
- 1,435reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, 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
Left, latest
- G••• J••••• S•••••••• to P•••••••• F•••••••• G••••• I•••Mar 23, 2017 · Other
- S••••• R•••••• M•••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 1, 2017 · Other
- J••• A••• F•••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 1, 2017 · Other
- D••••• K••••••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 1, 2017 · Other
- C••••••••• R••••• D••••••• to E•••••• F•••••••• S•••••••• L••Apr 21, 2014 · Other
Joined, latest
- S••••• R•••••• M•••••• from M• F•••••••• A••••••• • V••••••• F••••••••Mar 24, 2016 · Other
- C••••••••• R••••• D••••••• from A••••••••• F•••••••• S•••••••• L••Jun 2, 2011 · Other
- J••• A••• F•••••• from G•••••• S•••• W••••• S•••••••• L•••Apr 15, 2011 · Other
- D••••• K••••••••• from P•••••• V••••• L••Apr 15, 2011 · Other
- G••• J••••• S•••••••• from A••••• C•••••• M••••••••• L••Mar 8, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W••••• E••••••••• A••••••• S•••••••• L••Mar 1, 2017 · Northbrook, Il · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••• S••••••• P•••••• · Managing Membercontrolsince 03/2011 · owns 75% or more
- F••••••• J•••• A••• · Coosince 01/2012 · owns 10% to 25%
- S••••••••• G•••• J••••• · Chief Compliance Officersince 03/2011 · owns less than 5%
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 · 820 to 1,435Mar 17, 2015 to Mar 7, 2016
- Financial planning clients · 0 to 11-25Mar 17, 2015 to Mar 7, 2016
- Discretionary RAUM · $155M to $153MMar 17, 2015 to Mar 7, 2016
- Non-discretionary RAUM · $15.0M to $1.5MMar 17, 2015 to Mar 7, 2016
- RAUM · $170M to $155MMar 17, 2015 to Mar 7, 2016
- Accounts · 853 to 820Mar 17, 2014 to Mar 17, 2015
- Discretionary RAUM · $150M to $155MMar 17, 2014 to Mar 17, 2015
- Non-discretionary RAUM · $1.8M to $15.0MMar 17, 2014 to Mar 17, 2015
- RAUM · $152M to $170MMar 17, 2014 to Mar 17, 2015
- Accounts · 800 to 853Apr 15, 2013 to Mar 17, 2014
- Advisory employees · 4 to 3Apr 15, 2013 to Mar 17, 2014
- Commission compensation · false to trueApr 15, 2013 to Mar 17, 2014
- Employees · 6 to 5Apr 15, 2013 to Mar 17, 2014
- State-registered IARs · 4 to 3Apr 15, 2013 to Mar 17, 2014
- Discretionary RAUM · $110M to $150MApr 15, 2013 to Mar 17, 2014
- Non-discretionary RAUM · $15.0M to $1.8MApr 15, 2013 to Mar 17, 2014
- RAUM · $125M to $152MApr 15, 2013 to Mar 17, 2014
- Accounts · 700 to 800Feb 27, 2013 to Mar 26, 2013
- Employees · 5 to 6Feb 27, 2013 to Mar 26, 2013
- Discretionary RAUM · $115M to $110MFeb 27, 2013 to Mar 26, 2013
- Non-discretionary RAUM · $10.0M to $15.0MFeb 27, 2013 to Mar 26, 2013
Signals
1 dated events
- C•• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 14, 2013 · First SEC registration · fact
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