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
V••••••• C•••••• A•••• M••••••••• L••
Latest filing Aug 27, 2015
First filing on the tape Dec 6, 2011 · 13 filings
RAUM
$0
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
13 filings and snapshots on the tape
RAUM: $152M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 9, 2015
Mar 21, 20120 then
Employees (5.A)9 as of Jan 9, 2015
Feb 20, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 27, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- 0reported
- Financial planning clients
- 0reported
- 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
- A•••• B••••• C•••••• to I•• W••••• M••••••••• I•••Dec 31, 2015 · Other
- D•••• A••••• J•••••• to W•••• F•••• A•••••••Jul 1, 2015 · Other
- G•••••• R••• H•••• to C•••••••• I••••••••• R••••••• A•••••••• I•••May 19, 2015 · Other
- P•••• G••••• P•••• to F•••••••• W••• G••••May 19, 2015 · Other
- E••••• G••••• B•••••• to A••••••••• F•••••••• S•••••••• L••May 19, 2015 · Other
- R••• M•••••• C•••• to U•• F•••••••• S••••••• I•••May 19, 2015 · Other
- S•••• F••••••• to S••••• I••••••••• M••••••••• L••May 7, 2015 · Other
Joined, latest
- P•••• G••••• P•••• from K••••• A•••••••• I•••Jan 26, 2015 · Other
- E••••• G••••• B•••••• from V••• I••••••••• M••••••••• C•• L••Jan 7, 2015 · Other
- G•••••• R••• H•••• from A••••••••• A•••••• S•••••••• I•••Nov 13, 2013 · Other
- S•••• F••••••• from E•••••• C•••••• M••••••••• L••Sep 27, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• G••••••• A••••••• · Managing Membercontrolsince 07/2011 · owns 25% to 50%
- C••••• C••••••••• R•••••• · Managing Membercontrolsince 07/2011 · owns 25% to 50%
- C••••••• A••••• B••••• · President/Managing Member/Ccocontrolsince 07/2011 · 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 · 1 to 0Jul 2, 2015 to Jul 16, 2015
- BD registered reps · 6 to 0Jul 2, 2015 to Jul 16, 2015
- Employees · 9 to 3Jul 2, 2015 to Jul 16, 2015
- Discretionary RAUM · $110M to $0Jul 2, 2015 to Jul 16, 2015
- RAUM · $110M to $0Jul 2, 2015 to Jul 16, 2015
- Related broker-dealer · true to falseJul 2, 2015 to Jul 16, 2015
- Accounts · 3 to 1Jan 9, 2015 to Jul 2, 2015
- Discretionary RAUM · $132M to $110MJan 9, 2015 to Jul 2, 2015
- Non-discretionary RAUM · $20.0M to $0Jan 9, 2015 to Jul 2, 2015
- RAUM · $152M to $110MJan 9, 2015 to Jul 2, 2015
- Accounts · 2 to 3Jun 20, 2014 to Jan 9, 2015
- Discretionary RAUM · $84.0M to $132MJun 20, 2014 to Jan 9, 2015
- Non-discretionary RAUM · $0 to $20.0MJun 20, 2014 to Jan 9, 2015
- RAUM · $84.0M to $152MJun 20, 2014 to Jan 9, 2015
- Related adviser · true to falseJun 20, 2014 to Jan 9, 2015
- Accounts · unset to 2.0Apr 25, 2014 to Jun 20, 2014
- Discretionary RAUM · unset to 84000000.0Apr 25, 2014 to Jun 20, 2014
- Non-discretionary RAUM · unset to 0.0Apr 25, 2014 to Jun 20, 2014
- RAUM · unset to 84000000.0Apr 25, 2014 to Jun 20, 2014
- Related adviser · false to trueJun 20, 2014 to Jun 20, 2014
- BD registered reps · 2 to 6Mar 10, 2014 to Apr 25, 2014
- Employees · 4 to 9Mar 10, 2014 to Apr 25, 2014
- Employees · 10 to 4Nov 19, 2012 to Feb 20, 2013
- Advisory employees · unset to 2.0Mar 21, 2012 to Nov 19, 2012
- BD registered reps · unset to 2.0Mar 21, 2012 to Nov 19, 2012
- Employees · unset to 10.0Mar 21, 2012 to Nov 19, 2012
- Accounts · 0.0 to unsetDec 6, 2011 to Mar 21, 2012
- Insurance-licensed employees · unset to 0.0Dec 6, 2011 to Mar 21, 2012
- Discretionary RAUM · 0.0 to unsetDec 6, 2011 to Mar 21, 2012
- Non-discretionary RAUM · 0.0 to unsetDec 6, 2011 to Mar 21, 2012
- RAUM · 0.0 to unsetDec 6, 2011 to Mar 21, 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