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
A••• S••••• I••••••••• L••
Latest filing Mar 29, 2018
First filing on the tape Feb 17, 2012 · 13 filings
RAUM
$91.9M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
32%
$29.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$40.2M gross assets
History
13 filings and snapshots on the tape
RAUM$91.9M as of Mar 29, 2018
Feb 17, 2012$141M then
HNW client RAUM: $28.6M
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Feb 17, 20120 then
Employees (5.A)8 as of Mar 29, 2018
Mar 27, 20135 then
Private funds1 as of Mar 29, 2018
Feb 17, 20121 then
RAUM -14% over the last fiscal year-19% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $165,829, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$52.0M57%
- High-net-worth individuals$28.6M31%
- Corporations and businesses$10.9M12%
- Individuals$350,6150.4%
- Individual clients
- n/areported
- HNW clients
- 17reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 57reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $165,829 for 1 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
Left, latest
- N••••• R••••••••• A•••• to W•••••• C•••••• M•••••••••Jun 8, 2017 · Other
Joined, latest
- N••••• R••••••••• A•••• from D••••••• B••• S••••••••• I•••Aug 10, 2012 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• F••••• F•••• L•• | Other Private Fund | $35.2M | 38 | Feb 17, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••••• R••••• H••••••• · Chief Compliance Officercontrolsince 08/2011 · owns less than 5%
- S•••••• A•••• L•••••• · Chief Executive Officercontrolsince 08/2011 · owns less than 5%
- S•••••• A•••• L•••••• · Managing Membercontrolsince 08/2011 · owns 50% to 75% of A••• S••••• F•••••••• S•••••••• L••
Entity owners
- A••• S••••• F•••••••• S•••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••• S••••• • C••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 88 to 57Sep 29, 2017 to Mar 29, 2018
- HNW clients · unset to 17.0Sep 29, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 2.0Sep 29, 2017 to Mar 29, 2018
- Assets in custody · $26,987 to $165,829Sep 29, 2017 to Mar 29, 2018
- State-registered IARs · 1 to 0Sep 29, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- Discretionary RAUM · $85.6M to $75.7MSep 29, 2017 to Mar 29, 2018
- HNW RAUM · unset to 28629550.0Sep 29, 2017 to Mar 29, 2018
- Individual RAUM · unset to 350615.0Sep 29, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $20.6M to $16.1MSep 29, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 51950784.0Sep 29, 2017 to Mar 29, 2018
- RAUM · $106M to $91.9MSep 29, 2017 to Mar 29, 2018
- Accounts · 127 to 88Dec 13, 2016 to Mar 22, 2017
- Assets in custody · $1.1M to $26,987Dec 13, 2016 to Mar 22, 2017
- Employees · 7 to 8Dec 13, 2016 to Mar 22, 2017
- Financial planning clients · unset to 0Dec 13, 2016 to Mar 22, 2017
- Discretionary RAUM · $99.1M to $85.6MDec 13, 2016 to Mar 22, 2017
- Non-discretionary RAUM · $51.7M to $20.6MDec 13, 2016 to Mar 22, 2017
- RAUM · $151M to $106MDec 13, 2016 to Mar 22, 2017
- Assets in custody · $38.4M to $1.1MMar 27, 2015 to Mar 11, 2016
- Discretionary RAUM · $137M to $99.1MMar 27, 2015 to Mar 11, 2016
- Non-discretionary RAUM · $37.6M to $51.7MMar 27, 2015 to Mar 11, 2016
- RAUM · $175M to $151MMar 27, 2015 to Mar 11, 2016
- Accounts · 89 to 127Mar 27, 2014 to Mar 27, 2015
- Advisory employees · 2 to 3Mar 27, 2014 to Mar 27, 2015
- Assets in custody · $9,361 to $38.4MMar 27, 2014 to Mar 27, 2015
- Employees · 6 to 7Mar 27, 2014 to Mar 27, 2015
- Discretionary RAUM · $163M to $137MMar 27, 2014 to Mar 27, 2015
- Non-discretionary RAUM · $39.1M to $37.6MMar 27, 2014 to Mar 27, 2015
- RAUM · $202M to $175MMar 27, 2014 to Mar 27, 2015
- Accounts · 83 to 89Mar 27, 2013 to Mar 27, 2014
- Advisory employees · 1 to 2Mar 27, 2013 to Mar 27, 2014
- Advisory activities · 3 to 4Mar 27, 2013 to Mar 27, 2014
- Assets in custody · $54,008 to $9,361Mar 27, 2013 to Mar 27, 2014
- Employees · 5 to 6Mar 27, 2013 to Mar 27, 2014
- Discretionary RAUM · $145M to $163MMar 27, 2013 to Mar 27, 2014
- Non-discretionary RAUM · $45.7M to $39.1MMar 27, 2013 to Mar 27, 2014
- RAUM · $191M to $202MMar 27, 2013 to Mar 27, 2014
- Accounts · 34 to 83Aug 28, 2012 to Mar 27, 2013
- Advisory employees · unset to 1.0Aug 28, 2012 to Mar 27, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- A••• S••••• I••••••••• L•• · Independent Sponsorsshared crd · capital_provider
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