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
A•••••• I••••••••• A••••••••• C• L••
Latest filing Mar 29, 2016
First filing on the tape Mar 27, 2012 · 6 filings
RAUM
$1.1B
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
10
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$1.1B as of Mar 29, 2016
Mar 27, 2012$899M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Mar 29, 2016
Mar 27, 20139 then
Employees (5.A)10 as of Mar 29, 2016
Mar 27, 20139 then
Private funds: no history
RAUM -5.1% over the last fiscal year+6.0% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
- RAUM per advisor
- $112MderivedRAUM 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
- $571,246derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 1,958reported
- Financial planning clients
- 0reported
- 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
- J•••• W••••• V••••• to R•• W••••• P•••••••Dec 7, 2016 · Other
- C••••••••• M•••••• H•••• to A•••••• I•••••••••Dec 7, 2016 · Other
- E•••••••• S•••• K•••••••• to R•• W••••• P•••••••Dec 7, 2016 · Other
- C••••••••• J••• K•••• to A•••••• I•••••••••Dec 7, 2016 · Other
- J••••• W•••••• J•••• to R•• W••••• P•••••••Dec 7, 2016 · Other
- C••••••••• P•••••• G•••••• to R•• W••••• P•••••••Apr 10, 2012 · Other
Joined, latest
- J•••• W••••• V••••• from K••••• I•••••• M••••••••• I••Mar 25, 2011 · Other
- C••••••••• M•••••• H•••• from K••••• I•••••• M••••••••• I••Mar 25, 2011 · Other
- C••••••••• P•••••• G•••••• from K••••• I•••••• M••••••••• I••Mar 25, 2011 · Other
- E•••••••• S•••• K•••••••• from K••••• I•••••• M••••••••• I••Mar 25, 2011 · Other
- C••••••••• J••• K•••• from K••••• I•••••• M••••••••• I••Mar 25, 2011 · Other
- J••••• W•••••• J•••• from K••••• I•••••• M••••••••• I••Mar 25, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••••• I•••••••••Dec 7, 2016 · Newton, Ma
- 3 left for R•• W••••• P•••••••Dec 7, 2016 · Newton, Ma · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• J••••• H••• · Chief Investment Officer/Elected Managercontrolsince 12/2010 · owns less than 5%
- S•••••• D•••••• F••••••••• · Elected Manager/Chief Compliance Officercontrolsince 12/2010 · owns less than 5%
- W•••••• D•••••• P••••• · Elected Managercontrolsince 12/2010 · owns less than 5%
- W•••••• D•••••• P••••• · Shareholdercontrolsince 07/1994 · owns 25% to 50% of A•••••• Investment Management, Inc
Entity owners
- A•••••• I••••••••• L•• · Memberdirect · owns 75% or more
- A•••••• I••••••••• M••••••••• I•• · Memberindirect · owns 75% or more of A•••••• I••••••••• L••
Related persons
Schedule D 7.A
- R•• W••••• P•••••••investment adviseryRAUM $20B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,917 to 1,958Mar 26, 2015 to Mar 29, 2016
- Employees · 9 to 10Mar 26, 2015 to Mar 29, 2016
- Insurance-licensed employees · 9 to 10Mar 26, 2015 to Mar 29, 2016
- State-registered IARs · 9 to 10Mar 26, 2015 to Mar 29, 2016
- Discretionary RAUM · $1.2B to $1.1BMar 26, 2015 to Mar 29, 2016
- RAUM · $1.2B to $1.1BMar 26, 2015 to Mar 29, 2016
- Accounts · 1,850 to 1,917Mar 28, 2014 to Mar 26, 2015
- Discretionary RAUM · $1.1B to $1.2BMar 28, 2014 to Mar 26, 2015
- RAUM · $1.1B to $1.2BMar 28, 2014 to Mar 26, 2015
- Accounts · 1,687 to 1,850Mar 27, 2013 to Mar 28, 2014
- Business name · K••••• I•••••• M••••••••• • A• A•••••• I••••••••• C•••••• to A•••••• I••••••••• A••••••••• C• L••Mar 27, 2013 to Mar 28, 2014
- Discretionary RAUM · $940M to $1.1BMar 27, 2013 to Mar 28, 2014
- RAUM · $940M to $1.1BMar 27, 2013 to Mar 28, 2014
- Accounts · 1,788 to 1,687Apr 16, 2012 to Mar 27, 2013
- Advisory employees · unset to 9.0Apr 16, 2012 to Mar 27, 2013
- Advisory activities · 4 to 1Apr 16, 2012 to Mar 27, 2013
- Employees · unset to 9.0Apr 16, 2012 to Mar 27, 2013
- Insurance-licensed employees · 8 to 9Apr 16, 2012 to Mar 27, 2013
- State-registered IARs · unset to 9.0Apr 16, 2012 to Mar 27, 2013
- Discretionary RAUM · $899M to $940MApr 16, 2012 to Mar 27, 2013
- RAUM · $899M to $940MApr 16, 2012 to Mar 27, 2013
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 A••••••deriveda 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