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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SEC-registered adviser
C••••••••• F•••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 14, 2012 · 21 filings
SEC status approved since Mar 20, 2012
RAUM
$19B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$17B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
38
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$19B as of Mar 31, 2026
Mar 19, 2013$11B then
HNW client RAUM$17B as of Mar 31, 2026
Mar 19, 2018$14B then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 19, 20130 then
Employees (5.A)38 as of Mar 31, 2026
Mar 19, 201320 then
Private funds: no history
RAUM +3.5% over the last fiscal year+3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $1.3BderivedHNW RAUM over HNW clients
- Average account
- $617MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%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
- +3.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $19B, 30 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$17B98%
- Charitable organizations$375M2.1%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- 12reported
- Accounts
- 30reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $19B for 30 clientsreported
- Compensation
- fixed, hourly, performancereported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• J••••••• R••••• · Manager & Membercontrolsince 01/2026 · owns 5% to 10%
- B••••• N•••••••• R•• · Chief Compliance Officercontrolsince 03/2019 · owns less than 5%
- H••••••••• G••••••• R••• · Manager & Membercontrolsince 10/2024 · owns 10% to 25%
- M•••• J••••••• C•••• · Special Membercontrolsince 10/2024 · owns 5% to 10%
- M•••• M••••••• G•••••• · Membercontrolsince 01/2026 · owns 50% to 75%
- M•••••• J•••••• R••••• · Managing Director & Managercontrolsince 01/2026 · owns less than 5%
- S••••••• T••••••• R•••••• · Senior Director, Investmentssince 12/2020 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026M•••••• J•••••• R••••• (MANAGING DIRECTOR & MANAGER) appeared on Schedule A between the filings of 2019-03-26 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 31, 2026M•••• J••••••• C•••• (SPECIAL MEMBER) left Schedule A between the filings of 2019-03-26 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Assets in custody · $18B to $19BJan 27, 2026 to Mar 31, 2026
- Employees · 37 to 38Jan 27, 2026 to Mar 31, 2026
- Discretionary RAUM · $18B to $19BJan 27, 2026 to Mar 31, 2026
- HNW RAUM · $17B to $17BJan 27, 2026 to Mar 31, 2026
- RAUM · $18B to $19BJan 27, 2026 to Mar 31, 2026
- Advisory employees · 13 to 15Dec 18, 2024 to Apr 18, 2025
- Assets in custody · $17B to $18BDec 18, 2024 to Apr 18, 2025
- Employees · 36 to 37Dec 18, 2024 to Apr 18, 2025
- Financial planning clients · 26-50 to 26-50Dec 18, 2024 to Apr 18, 2025
- Discretionary RAUM · $17B to $18BDec 18, 2024 to Apr 18, 2025
- HNW RAUM · $15B to $17BDec 18, 2024 to Apr 18, 2025
- RAUM · $17B to $18BDec 18, 2024 to Apr 18, 2025
- Succession · true to falseDec 18, 2024 to Apr 18, 2025
- Succession · false to trueAug 13, 2024 to Dec 18, 2024
- Accounts · 29 to 30Mar 27, 2023 to Mar 29, 2024
- Assets in custody · $17B to $17BMar 27, 2023 to Mar 29, 2024
- Employees · 34 to 36Mar 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $17B to $17BMar 27, 2023 to Mar 29, 2024
- HNW RAUM · $15B to $15BMar 27, 2023 to Mar 29, 2024
- RAUM · $17B to $17BMar 27, 2023 to Mar 29, 2024
- Accounts · 28 to 29Apr 1, 2022 to Mar 27, 2023
- Charity clients · 11 to 12Apr 1, 2022 to Mar 27, 2023
- Assets in custody · $23B to $17BApr 1, 2022 to Mar 27, 2023
- Employees · 33 to 34Apr 1, 2022 to Mar 27, 2023
- Discretionary RAUM · $23B to $17BApr 1, 2022 to Mar 27, 2023
- HNW RAUM · $21B to $15BApr 1, 2022 to Mar 27, 2023
- RAUM · $23B to $17BApr 1, 2022 to Mar 27, 2023
- Accounts · 39 to 28Mar 31, 2021 to Mar 31, 2022
- Charity clients · 12 to 11Mar 31, 2021 to Mar 31, 2022
- Corporate clients · 6.0 to unsetMar 31, 2021 to Mar 31, 2022
- HNW clients · 14 to 13Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $23B to $23BMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $23B to $23BMar 31, 2021 to Mar 31, 2022
- HNW RAUM · $20B to $21BMar 31, 2021 to Mar 31, 2022
- RAUM · $23B to $23BMar 31, 2021 to Mar 31, 2022
- Accounts · 45 to 39Dec 11, 2020 to Mar 31, 2021
- Advisory employees · 10 to 13Dec 11, 2020 to Mar 31, 2021
- Charity clients · 9 to 12Dec 11, 2020 to Mar 31, 2021
- Corporate clients · 5 to 6Dec 11, 2020 to Mar 31, 2021
- HNW clients · 10 to 14Dec 11, 2020 to Mar 31, 2021
Signals
5 dated events
- C••••••••• F•••••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 18, 2024 · Succession (Item 4) · fact
- C••••••••• F•••••••• M••••••••• L•• reported RAUM $16.6B, down 27% from $22.8B (2022-04-01 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- C••••••••• F•••••••• M••••••••• L•• reported RAUM $22.8B, up 33% from $17.1B (2020-12-11 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- R Nicholas Brown (Chief Compliance Officer) appeared on Schedule A of C••••••••• F•••••••• M••••••••• L••Mar 26, 2019 · Control person joined · fact
- C••••••••• F•••••••• M••••••••• L•• reported RAUM $15.2B, up 39% from $11.0B (2017-03-17 to 2018-03-19)Mar 19, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C••••••••• F•••••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Principal office phone
- 408-358-3316reportedpublic record, Form ADV, Mar 31, 2026
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
- Independent wealth managerderiveda 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