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

C••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserCRD 158118SEC 801-72553IAPD
Latest filing Dec 24, 2014
First filing on the tape Dec 1, 2011 · 5 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$100M as of Mar 26, 2014
Sep 18, 2012$250M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 26, 2014
Sep 18, 20120 then
Employees (5.A): 4
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 24, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourlyreportedItem 5.E
Advisory activities
otherreportedItem 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)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
hourlyreported
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
      • B••••••• K•••• S•••••• · Managing Member/Ceo/Ccocontrol
        since 05/2011 · owns 75% or more
      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 · 1.0 to unset
        Mar 26, 2014 to Dec 24, 2014
      • Advisory employees · 3 to 2
        Mar 26, 2014 to Dec 24, 2014
      • Commission compensation · true to false
        Mar 26, 2014 to Dec 24, 2014
      • Employees · 4 to 3
        Mar 26, 2014 to Dec 24, 2014
      • Financial planning clients · 0 to unset
        Mar 26, 2014 to Dec 24, 2014
      • Discretionary RAUM · 0.0 to unset
        Mar 26, 2014 to Dec 24, 2014
      • Non-discretionary RAUM · 100000000.0 to unset
        Mar 26, 2014 to Dec 24, 2014
      • RAUM · 100000000.0 to unset
        Mar 26, 2014 to Dec 24, 2014
      • Accounts · 5 to 1
        Feb 7, 2013 to Mar 26, 2014
      • Advisory employees · 2 to 3
        Feb 7, 2013 to Mar 26, 2014
      • Advisory activities · 3 to 1
        Feb 7, 2013 to Mar 26, 2014
      • BD registered reps · 1 to 0
        Feb 7, 2013 to Mar 26, 2014
      • Employees · 3 to 4
        Feb 7, 2013 to Mar 26, 2014
      • HQ city · WINDERMERE to unset
        Feb 7, 2013 to Mar 26, 2014
      • HQ state · FL to unset
        Feb 7, 2013 to Mar 26, 2014
      • Non-discretionary RAUM · $250M to $100M
        Feb 7, 2013 to Mar 26, 2014
      • RAUM · $250M to $100M
        Feb 7, 2013 to Mar 26, 2014
      • Advisory employees · unset to 2.0
        Sep 18, 2012 to Feb 7, 2013
      • BD registered reps · unset to 1.0
        Sep 18, 2012 to Feb 7, 2013
      • Employees · unset to 3.0
        Sep 18, 2012 to Feb 7, 2013
      • State-registered IARs · 0 to 1
        Sep 18, 2012 to Feb 7, 2013
      • Accounts · 2 to 5
        Dec 1, 2011 to Sep 18, 2012
      • Discretionary RAUM · $500M to $0
        Dec 1, 2011 to Sep 18, 2012
      • Non-discretionary RAUM · $0 to $250M
        Dec 1, 2011 to Sep 18, 2012
      • RAUM · $500M to $250M
        Dec 1, 2011 to Sep 18, 2012
      • Related adviser · true to false
        Dec 1, 2011 to Sep 18, 2012
      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