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•••••••• M••••••••• L••
Latest filing Apr 30, 2014
First filing on the tape Mar 20, 2012 · 10 filings
RAUM
$219M
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
9
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$219M gross assets
History
10 filings and snapshots on the tape
RAUM$219M as of Mar 19, 2014
Mar 20, 2012$225M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2014
Mar 26, 20130 then
Employees (5.A)9 as of Mar 19, 2014
Mar 26, 201310 then
Private funds1 as of Mar 19, 2014
Mar 20, 20123 then
RAUM -8.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 30, 2014; 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
- $219MderivedRAUM 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
- -8.8%derivedbetween 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, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $219M, 1 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $219M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••• M•••••••• F••• I• L••• | Other Private Fund | $104,000 | 7 | Mar 20, 2012 |
| G••••••• M•••••••• F••• P• L••• | Other Private Fund | $36,000 | 1 | Mar 20, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••• M•••• P•••• · Managing Membercontrolsince 08/2007 · owns 25% to 50%
- J••••• E••••••• H••••• · Managing Membercontrolsince 08/2007 · owns 25% to 50%
- K••••• P•••••• · Managing Membercontrolsince 08/2007 · owns 25% to 50%
- P•••••• C••••• J••• · Managing Membercontrolsince 08/2007 · owns 25% to 50%
- S•••••• A•••••••• C••••• · Chief Compliance Officercontrolsince 01/2013 · 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 · 3 to 1Aug 2, 2013 to Mar 19, 2014
- Assets in custody · $240M to $219MAug 2, 2013 to Mar 19, 2014
- Employees · 10 to 9Aug 2, 2013 to Mar 19, 2014
- Discretionary RAUM · $240M to $219MAug 2, 2013 to Mar 19, 2014
- RAUM · $240M to $219MAug 2, 2013 to Mar 19, 2014
- Private funds · 3 to 1Apr 30, 2013 to Aug 2, 2013
- Advisory employees · 9 to 8Jan 29, 2013 to Mar 26, 2013
- Assets in custody · $225M to $240MJan 29, 2013 to Mar 26, 2013
- Financial planning clients · 0 to unsetJan 29, 2013 to Mar 26, 2013
- State-registered IARs · 5 to 0Jan 29, 2013 to Mar 26, 2013
- Discretionary RAUM · $225M to $240MJan 29, 2013 to Mar 26, 2013
- RAUM · $225M to $240MJan 29, 2013 to Mar 26, 2013
- Advisory employees · unset to 9.0Mar 20, 2012 to Jan 18, 2013
- Employees · unset to 10.0Mar 20, 2012 to Jan 18, 2013
- State-registered IARs · unset to 5.0Mar 20, 2012 to Jan 18, 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-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