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

G•••••• H••• J•••••• • M••••••• I•••••••••

Former SEC-registered adviserMinneapolis, MinnesotaCRD 157582SEC 801-73064IAPD
Latest filing Oct 2, 2015
First filing on the tape Jan 17, 2012 · 10 filings
RAUM
$232M
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
13
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$178M gross assets
History
10 filings and snapshots on the tape
RAUM$232M as of Mar 27, 2015
Feb 13, 2013$351M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Feb 13, 20130 then
Employees (5.A)13 as of Mar 27, 2015
Feb 13, 20139 then
Private funds2 as of Mar 27, 2015
Feb 13, 20132 then
RAUM -31% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 2, 2015; 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
$116MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-31%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-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$163M, 2 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$163M for 2 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••••• F••• L•••••• P•••••••••Private Equity Fund$116M55Feb 13, 2013
      M••••••• F••• L•••••• P••••••••• V•Private Equity Fund$61.6M39Jan 17, 2012
      M••••••• F••• L•••••• P••••••••• I•no longer reportedPrivate Equity Fund$4.7M42Jan 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J••••• T••••••• · Managing Director And Chief Financial Officercontrol
        since 01/2014 · owns 10% to 25%
      • C••••••• C•••••••• M• · Managing Directorcontrol
        since 08/2013 · owns 10% to 25%
      • H•••• V•• Z•••• · Managing Directorcontrol
        since 04/1989 · owns 10% to 25%
      • H•••••• J•••••• M•••••• · Managing Directorcontrol
        since 03/2011 · owns 10% to 25%
      • J••••••• T••••••• D••••• · Managing Director And Chief Executive Officercontrol
        since 01/2014 · owns 10% to 25%
      • M•••••••• J•••• L•••• · Managing Directorcontrol
        since 06/1989 · owns 10% to 25%
      • S•••••• P••••• J••• · Managing Directorcontrol
        since 01/2015 · owns less than 5%
      • H••••••••• G••••• N•••••• · Chief Compliance Officer; Treasurer
        since 01/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list G•••••• H••• J•••••• • M••••••• I••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Cincinnati, OH
      What changed
      consecutive filings, newest first
      • Advisory employees · 8 to 9
        Mar 21, 2014 to Mar 27, 2015
      • Assets in custody · $275M to $163M
        Mar 21, 2014 to Mar 27, 2015
      • Employees · 12 to 13
        Mar 21, 2014 to Mar 27, 2015
      • Discretionary RAUM · $339M to $232M
        Mar 21, 2014 to Mar 27, 2015
      • RAUM · $339M to $232M
        Mar 21, 2014 to Mar 27, 2015
      • Assets in custody · $309M to $275M
        Apr 24, 2013 to Mar 21, 2014
      • Discretionary RAUM · $399M to $339M
        Apr 24, 2013 to Mar 21, 2014
      • RAUM · $399M to $339M
        Apr 24, 2013 to Mar 21, 2014
      • Accounts · 3 to 2
        Feb 19, 2013 to Mar 22, 2013
      • Assets in custody · $286M to $309M
        Feb 19, 2013 to Mar 22, 2013
      • Discretionary RAUM · $392M to $399M
        Feb 19, 2013 to Mar 22, 2013
      • RAUM · $392M to $399M
        Feb 19, 2013 to Mar 22, 2013
      • Advisory employees · 7 to 8
        Feb 13, 2013 to Feb 19, 2013
      • Employees · 9 to 12
        Feb 13, 2013 to Feb 19, 2013
      • Discretionary RAUM · $351M to $392M
        Feb 13, 2013 to Feb 19, 2013
      • RAUM · $351M to $392M
        Feb 13, 2013 to Feb 19, 2013
      • Accounts · 2 to 3
        Apr 11, 2012 to Feb 13, 2013
      • Advisory employees · unset to 7.0
        Apr 11, 2012 to Feb 13, 2013
      • BD registered reps · unset to 0.0
        Apr 11, 2012 to Feb 13, 2013
      • Assets in custody · $378M to $286M
        Apr 11, 2012 to Feb 13, 2013
      • Employees · unset to 9.0
        Apr 11, 2012 to Feb 13, 2013
      • State-registered IARs · unset to 0.0
        Apr 11, 2012 to Feb 13, 2013
      • Discretionary RAUM · $388M to $351M
        Apr 11, 2012 to Feb 13, 2013
      • RAUM · $388M to $351M
        Apr 11, 2012 to Feb 13, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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