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•••• I••••••••• P••••••• L••

Former SEC-registered adviserPalm Beach, FloridaCRD 159203SEC 801-72823IAPD
Latest filing Mar 16, 2016
First filing on the tape Mar 26, 2012 · 12 filings
RAUM
$80.2M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$80.2M as of Mar 16, 2016
Mar 26, 2012$5.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 16, 2016
Mar 26, 20120 then
Employees (5.A)3 as of Mar 16, 2016
Mar 15, 20134 then
Private funds: no history
RAUM +0.2% over the last fiscal year+25% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2016; every figure names its basis
RAUM per advisor
$40.1MderivedRAUM 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
$679,357derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.2%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • 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)
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
118reported
Financial planning clients
n/areported
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
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
    • G••••••••• K••••••••• M••••••• · Member/Investment Portfolio Managercontrol
      since 08/2011 · owns 10% to 25%
    • N••••• J•••• D•••• · Chief Compliance Officercontrol
      since 07/2013 · owns less than 5%
    • S••••••••• M•••••• · Managing Member/Chief Investment Officercontrol
      since 08/2011 · owns 10% to 25%
    • C••••••••• J•••••• · Director, President & Chief Executive Officercontrol
      since 10/2010 · owns 25% to 50% of C•••••• C•••••• G••••• I•••
    Entity owners
    • C•••••• C•••••• G•••• · Member
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 111 to 118
      Mar 26, 2015 to Mar 16, 2016
    • Discretionary RAUM · $80.0M to $80.2M
      Mar 26, 2015 to Mar 16, 2016
    • RAUM · $80.0M to $80.2M
      Mar 26, 2015 to Mar 16, 2016
    • Accounts · 90 to 111
      Sep 26, 2014 to Mar 26, 2015
    • Discretionary RAUM · $58.0M to $80.0M
      Sep 26, 2014 to Mar 26, 2015
    • RAUM · $58.0M to $80.0M
      Sep 26, 2014 to Mar 26, 2015
    • Accounts · 9 to 90
      Sep 13, 2013 to Mar 11, 2014
    • Employees · 4 to 3
      Sep 13, 2013 to Mar 11, 2014
    • Discretionary RAUM · $41.4M to $58.0M
      Sep 13, 2013 to Mar 11, 2014
    • RAUM · $41.4M to $58.0M
      Sep 13, 2013 to Mar 11, 2014
    • Accounts · 63 to 9
      Dec 20, 2012 to Mar 15, 2013
    • Discretionary RAUM · $28.2M to $41.4M
      Dec 20, 2012 to Mar 15, 2013
    • RAUM · $28.2M to $41.4M
      Dec 20, 2012 to Mar 15, 2013
    • Accounts · 3 to 63
      Mar 26, 2012 to Dec 20, 2012
    • Advisory employees · unset to 2.0
      Mar 26, 2012 to Dec 20, 2012
    • Employees · unset to 4.0
      Mar 26, 2012 to Dec 20, 2012
    • State-registered IARs · 0 to 2
      Mar 26, 2012 to Dec 20, 2012
    • Discretionary RAUM · $5.4M to $28.2M
      Mar 26, 2012 to Dec 20, 2012
    • RAUM · $5.4M to $28.2M
      Mar 26, 2012 to Dec 20, 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