DFX Intelligence

RIA Intelligence

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I•••••••• C•••••• L••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $17.2M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$17.2M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-61%
Form ADV, consecutive annual filings
Private clients
37% of RAUM, $6.3M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 157503 · SEC 801-95173 · 8 filingsShow
CRD 157503SEC 801-95173First filing on the tape Apr 14, 2015, latest Apr 2, 2019IAPD
RAUM
$17.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
37%
$6.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$17.2M as of Mar 30, 2019
Mar 30, 2016$59.1M then
HNW client RAUM$4.5M as of Mar 30, 2019
Mar 31, 2018$5.6M then
State-registered IARs (5.B.3)1 as of Mar 30, 2019
Mar 30, 20161 then
Employees (5.A)4 as of Mar 30, 2019
Mar 30, 20164 then
Private funds: no history
RAUM -61% over the last fiscal year-34% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 2, 2019; every figure names its basis
RAUM per advisor
$17.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
18derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$450,261derivedHNW RAUM over HNW clients
Average account
$662,930derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-61%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
  • 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
  • Pooled investment vehicles$10.9M63%
  • High-net-worth individuals$4.5M26%
  • Individuals$1.8M10%
Individual clients
8reported
HNW clients
10reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
26reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• K••••••• S• · Managing Member/Cco/Shareholdercontrol
        since 05/2011 · owns 75% or more
      • G•••••• R••••••• M••••••• · Director Of Marketing/Shareholdercontrol
        since 03/2012 · owns 5% to 10%
      • R••••••••• A••••• · Member/Shareholder
        since 12/2013 · owns 10% to 25%
      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 · 28 to 26
        Mar 31, 2018 to Mar 30, 2019
      • HNW clients · 13 to 10
        Mar 31, 2018 to Mar 30, 2019
      • Individual clients · 5 to 8
        Mar 31, 2018 to Mar 30, 2019
      • Discretionary RAUM · $44.1M to $17.2M
        Mar 31, 2018 to Mar 30, 2019
      • HNW RAUM · $5.6M to $4.5M
        Mar 31, 2018 to Mar 30, 2019
      • Individual RAUM · $1.2M to $1.8M
        Mar 31, 2018 to Mar 30, 2019
      • Pooled vehicle RAUM · $24.4M to $10.9M
        Mar 31, 2018 to Mar 30, 2019
      • RAUM · $44.1M to $17.2M
        Mar 31, 2018 to Mar 30, 2019
      • Accounts · 30 to 28
        Jun 21, 2017 to Mar 31, 2018
      • HNW clients · unset to 13.0
        Jun 21, 2017 to Mar 31, 2018
      • Individual clients · unset to 5.0
        Jun 21, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 2.0
        Jun 21, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Jun 21, 2017 to Mar 31, 2018
      • Discretionary RAUM · $43.0M to $44.1M
        Jun 21, 2017 to Mar 31, 2018
      • HNW RAUM · unset to 5637672.0
        Jun 21, 2017 to Mar 31, 2018
      • Individual RAUM · unset to 1246090.0
        Jun 21, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 24388793.0
        Jun 21, 2017 to Mar 31, 2018
      • RAUM · $43.0M to $44.1M
        Jun 21, 2017 to Mar 31, 2018
      • Accounts · 32 to 30
        Mar 21, 2017 to Jun 21, 2017
      • Non-discretionary RAUM · $21.6M to $0
        Mar 21, 2017 to Jun 21, 2017
      • RAUM · $64.6M to $43.0M
        Mar 21, 2017 to Jun 21, 2017
      • Accounts · 25 to 32
        Mar 30, 2016 to Mar 21, 2017
      • Discretionary RAUM · $39.1M to $43.0M
        Mar 30, 2016 to Mar 21, 2017
      • Non-discretionary RAUM · $20.0M to $21.6M
        Mar 30, 2016 to Mar 21, 2017
      • RAUM · $59.1M to $64.6M
        Mar 30, 2016 to Mar 21, 2017
      • Accounts · 21 to 25
        Apr 28, 2015 to Mar 30, 2016
      • Employees · 3 to 4
        Apr 28, 2015 to Mar 30, 2016
      • Discretionary RAUM · $20.0M to $39.1M
        Apr 28, 2015 to Mar 30, 2016
      • RAUM · $40.0M to $59.1M
        Apr 28, 2015 to Mar 30, 2016
      Signals
      1 dated events
      • ••• Locked
        Apr 14, 2015 · 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