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••••••••• M••••••••• L••
Latest filing Mar 25, 2024
First filing on the tape Jun 27, 2014 · 14 filings
RAUM
$245M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$245M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$245M as of Mar 25, 2024
Mar 31, 2015$101M then
HNW client RAUM$245M as of Mar 25, 2024
Mar 27, 2020$104M then
State-registered IARs (5.B.3)0 as of Mar 25, 2024
Mar 31, 20150 then
Employees (5.A)4 as of Mar 25, 2024
Mar 31, 20157 then
Private funds1 as of Mar 27, 2020
Mar 31, 20151 then
RAUM +9.2% over the last fiscal year+4.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2024; 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
- $48.9MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%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 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$245M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••••• P••••••• L•••no longer reported | Hedge Fund | $62.2M | 5 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E••••• J••••• R••••• · Managing Membercontrolsince 01/2010 · owns 25% to 50%
- E••••• S•••••• H••••••••• · Managing Membercontrolsince 12/2006 · owns 25% to 50%
- M••••••••• D••••• C• · Managing Member, Chief Compliance Officercontrolsince 12/2006 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Grand Haven, MI1 employees
- Santa Barbara, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $224M to $245MMar 8, 2023 to Mar 25, 2024
- HNW RAUM · $224M to $245MMar 8, 2023 to Mar 25, 2024
- RAUM · $224M to $245MMar 8, 2023 to Mar 25, 2024
- Discretionary RAUM · $255M to $224MMar 17, 2022 to Mar 8, 2023
- HNW RAUM · $255M to $224MMar 17, 2022 to Mar 8, 2023
- RAUM · $255M to $224MMar 17, 2022 to Mar 8, 2023
- HNW clients · 5.0 to unsetJan 18, 2021 to Mar 17, 2022
- Other offices · 2 to 3Jan 18, 2021 to Mar 17, 2022
- Discretionary RAUM · $212M to $255MJan 18, 2021 to Mar 17, 2022
- HNW RAUM · $212M to $255MJan 18, 2021 to Mar 17, 2022
- RAUM · $212M to $255MJan 18, 2021 to Mar 17, 2022
- Accounts · 7 to 5Jun 2, 2020 to Jan 18, 2021
- Advisory activities · 2 to 1Jun 2, 2020 to Jan 18, 2021
- Pooled vehicle clients · 2.0 to unsetJun 2, 2020 to Jan 18, 2021
- Assets in custody · 62178316.0 to unsetJun 2, 2020 to Jan 18, 2021
- Custody of client assets · true to falseJun 2, 2020 to Jan 18, 2021
- Private funds · 1 to unsetJun 2, 2020 to Jan 18, 2021
- Discretionary RAUM · $198M to $212MJun 2, 2020 to Jan 18, 2021
- HNW RAUM · $104M to $212MJun 2, 2020 to Jan 18, 2021
- Pooled vehicle RAUM · 93717353.0 to unsetJun 2, 2020 to Jan 18, 2021
- RAUM · $198M to $212MJun 2, 2020 to Jan 18, 2021
- Accounts · 1 to 7Mar 22, 2019 to Mar 27, 2020
- Advisory employees · 5 to 3Mar 22, 2019 to Mar 27, 2020
- Advisory activities · 1 to 2Mar 22, 2019 to Mar 27, 2020
- HNW clients · unset to 5.0Mar 22, 2019 to Mar 27, 2020
- Pooled vehicle clients · 1 to 2Mar 22, 2019 to Mar 27, 2020
- Assets in custody · $90.6M to $62.2MMar 22, 2019 to Mar 27, 2020
- Employees · 6 to 4Mar 22, 2019 to Mar 27, 2020
- Discretionary RAUM · $90.6M to $198MMar 22, 2019 to Mar 27, 2020
- HNW RAUM · unset to 104495140.0Mar 22, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $90.6M to $93.7MMar 22, 2019 to Mar 27, 2020
- RAUM · $90.6M to $198MMar 22, 2019 to Mar 27, 2020
- Assets in custody · $98.1M to $90.6MMar 23, 2018 to Mar 22, 2019
- Employees · 7 to 6Mar 23, 2018 to Mar 22, 2019
- HQ city · CHICAGO to WARRENVILLEMar 23, 2018 to Mar 22, 2019
- Discretionary RAUM · $98.1M to $90.6MMar 23, 2018 to Mar 22, 2019
- Pooled vehicle RAUM · $98.1M to $90.6MMar 23, 2018 to Mar 22, 2019
- RAUM · $98.1M to $90.6MMar 23, 2018 to Mar 22, 2019
- Pooled vehicle clients · unset to 1.0Jun 30, 2017 to Mar 23, 2018
- Assets in custody · $94.5M to $98.1MJun 30, 2017 to Mar 23, 2018
Signals
4 dated events
- H••••••••• M••••••••• L•• reported RAUM $198.2M, up 119% from $90.6M (2019-03-22 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Eugene Blaine Rieke (Managing Member) no longer on Schedule A of H••••••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- H••••••••• M••••••••• L•• reported RAUM $98.1M, down 61% from $248.9M (2017-06-30 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
- H••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 27, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- H••••••••• M••••••••• L•• · Venture Capitalshared crd · organization
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