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.

Former SEC-registered adviser

Rand & Associates

Former SEC-registered adviserBaltimore, MarylandCRD 157807SEC 801-72391IAPD
Legal name Rand Wealth, LLC
Latest filing Oct 12, 2018
First filing on the tape Mar 27, 2012 · 25 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
86%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.3B as of Mar 29, 2018
Apr 30, 2012$655M then
HNW client RAUM: $975M
State-registered IARs (5.B.3)7 as of Mar 29, 2018
Apr 30, 20120 then
Employees (5.A)12 as of Mar 29, 2018
Mar 22, 201310 then
Private funds: no history
RAUM +21% over the last fiscal year+10% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Oct 12, 2018; every figure names its basis
RAUM per advisor
$180MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
73derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$994,210derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$932M, 491 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$975M78%
  • Charitable organizations$142M11%
  • Individuals$102M8.1%
  • Corporations and businesses$19.7M1.6%
  • Pension and profit-sharing plans$19.6M1.6%
Individual clients
213reported
HNW clients
296reported
Pension plan clients
11reported
Charitable clients
13reported
Accounts
1,266reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$932M for 491 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Harry Omealia · President And Chief Executive Officercontrol
      since 10/2018 · owns less than 5%
    • Mary Margaret Pasquarella · Chief Financial Officercontrol
      since 10/2018 · owns less than 5%
    • Patrick Michael Scanlon · Chief Compliance Officercontrol
      since 10/2018 · owns less than 5%
    Entity owners
    • 1919 Investment Counsel, LLC · Sole Member
      direct · owns 75% or more · public reporting company
    • Stifel Financial Corp. · Sole Member
      indirect · owns 75% or more of 1919 Investment Counsel, LLC · public reporting company
    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
    • HQ city · SAN FRANCISCO to BALTIMORE
      Jun 27, 2018 to Oct 12, 2018
    • HQ state · CA to MD
      Jun 27, 2018 to Oct 12, 2018
    • Other offices · 0 to 1
      Jun 27, 2018 to Oct 12, 2018
    • Accounts · 1,261 to 1,266
      Dec 22, 2017 to Mar 29, 2018
    • HNW clients · 284 to 296
      Dec 22, 2017 to Mar 29, 2018
    • Individual clients · 221 to 213
      Dec 22, 2017 to Mar 29, 2018
    • Pension plan clients · 13 to 11
      Dec 22, 2017 to Mar 29, 2018
    • Assets in custody · $917M to $932M
      Dec 22, 2017 to Mar 29, 2018
    • Discretionary RAUM · $1.2B to $1.2B
      Dec 22, 2017 to Mar 29, 2018
    • HNW RAUM · $953M to $975M
      Dec 22, 2017 to Mar 29, 2018
    • Individual RAUM · $110M to $102M
      Dec 22, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $13.5M to $11.9M
      Dec 22, 2017 to Mar 29, 2018
    • Pension RAUM · $20.3M to $19.6M
      Dec 22, 2017 to Mar 29, 2018
    • RAUM · $1.2B to $1.3B
      Dec 22, 2017 to Mar 29, 2018
    • Accounts · 1,133 to 1,261
      May 17, 2017 to Dec 22, 2017
    • Charity clients · unset to 13.0
      May 17, 2017 to Dec 22, 2017
    • Corporate clients · unset to 7.0
      May 17, 2017 to Dec 22, 2017
    • HNW clients · unset to 284.0
      May 17, 2017 to Dec 22, 2017
    • Individual clients · unset to 221.0
      May 17, 2017 to Dec 22, 2017
    • Pension plan clients · unset to 13.0
      May 17, 2017 to Dec 22, 2017
    • Pooled vehicle clients · unset to 0.0
      May 17, 2017 to Dec 22, 2017
    • Assets in custody · $830M to $917M
      May 17, 2017 to Dec 22, 2017
    • Other offices · unset to 0.0
      May 17, 2017 to Dec 22, 2017
    • Discretionary RAUM · $1.0B to $1.2B
      May 17, 2017 to Dec 22, 2017
    • HNW RAUM · unset to 953449412.0
      May 17, 2017 to Dec 22, 2017
    • Individual RAUM · unset to 110336687.0
      May 17, 2017 to Dec 22, 2017
    • Non-discretionary RAUM · $11.6M to $13.5M
      May 17, 2017 to Dec 22, 2017
    • Pension RAUM · unset to 20253016.0
      May 17, 2017 to Dec 22, 2017
    • Pooled vehicle RAUM · unset to 0.0
      May 17, 2017 to Dec 22, 2017
    • RAUM · $1.0B to $1.2B
      May 17, 2017 to Dec 22, 2017
    • Accounts · 1,079 to 1,133
      May 4, 2016 to Mar 15, 2017
    • Advisory employees · 8 to 7
      May 4, 2016 to Mar 15, 2017
    • Assets in custody · unset to 829888560.0
      May 4, 2016 to Mar 15, 2017
    • Custody of client assets · false to true
      May 4, 2016 to Mar 15, 2017
    • Employees · 13 to 12
      May 4, 2016 to Mar 15, 2017
    • State-registered IARs · 8 to 7
      May 4, 2016 to Mar 15, 2017
    • Discretionary RAUM · $919M to $1.0B
      May 4, 2016 to Mar 15, 2017
    • Non-discretionary RAUM · $10.6M to $11.6M
      May 4, 2016 to Mar 15, 2017
    • RAUM · $930M to $1.0B
      May 4, 2016 to Mar 15, 2017
    • Accounts · 1,082 to 1,079
      Dec 17, 2015 to Mar 4, 2016
    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