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••••••• F•••••••• A•••••••
Legal name C• F•••••••• A•••••••• L••
Latest filing Apr 25, 2019
First filing on the tape Dec 16, 2011 · 22 filings
RAUM
$199M
reported, Item 5.F
Discretionary
5.7%
of RAUM
Private clients
84%
$167M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$16.2M gross assets
History
22 filings and snapshots on the tape
RAUM$199M as of Mar 25, 2019
Mar 14, 2013$170M then
HNW client RAUM$153M as of Mar 25, 2019
Mar 12, 2018$144M then
State-registered IARs (5.B.3)4 as of Mar 25, 2019
Mar 14, 20133 then
Employees (5.A)5 as of Mar 25, 2019
Mar 14, 20135 then
Private funds1 as of Mar 25, 2019
Mar 14, 20131 then
RAUM -4.8% over the last fiscal year-1.0% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 25, 2019; every figure names its basis
- RAUM per advisor
- $49.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $371,665derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 5.7%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $155M, 102 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$153M77%
- Pension and profit-sharing plans$17.7M8.9%
- Individuals$13.4M6.7%
- Pooled investment vehicles$11.4M5.7%
- Charitable organizations$3.2M1.6%
- Corporations and businesses$109,2780.1%
- Individual clients
- 131reported
- HNW clients
- 77reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 536reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $155M for 102 clientsreported
- Compensation
- % of AUM, performancereported
- 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
- M••• J••••• M•••••• to U••••• C•••••• F•••••••• A•••••••Jul 15, 2019 · RIA to RIA
- C•••••• W• M•••••• to U••••• C•••••• F•••••••• A•••••••Jun 21, 2019 · RIA to RIA
- M•••••• G••••• M••••• to U••••• C•••••• F•••••••• A•••••••Jun 21, 2019 · RIA to RIA
- B•••••• W•••••• to C•••• G•••• C•••••• I•••Nov 26, 2018 · Other
Joined, latest
- M••• J••••• M•••••• from F••••••• C•••••• A•••••••• L••Feb 1, 2012 · Other
- C•••••• W• M•••••• from F••••••• C•••••• A•••••••• L••Feb 1, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for U••••• C•••••• F•••••••• A•••••••Jun 21, 2019 · Chadds Ford, Pa
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• U•••• I••••••••• F•••• L•• | Hedge Fund | $16.2M | 36 | Feb 1, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• M•••• J••••• · Managing Memeber, Principal And Chief Compliance Officercontrolsince 01/2012 · owns 75% or more
- M••••••• C••••••• W•••••• · Principalsince 01/2012 · owns less than 5%
Related persons
Schedule D 7.A
- C••••••• P•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 552 to 536Mar 12, 2018 to Mar 25, 2019
- Corporate clients · 5.0 to unsetMar 12, 2018 to Mar 25, 2019
- HNW clients · 69 to 77Mar 12, 2018 to Mar 25, 2019
- Individual clients · 135 to 131Mar 12, 2018 to Mar 25, 2019
- Assets in custody · unset to 155000000.0Mar 12, 2018 to Mar 25, 2019
- Custody of client assets · false to trueMar 12, 2018 to Mar 25, 2019
- Employees · 6 to 5Mar 12, 2018 to Mar 25, 2019
- Financial planning clients · 26-50 to 0Mar 12, 2018 to Mar 25, 2019
- Discretionary RAUM · $15.0M to $11.4MMar 12, 2018 to Mar 25, 2019
- HNW RAUM · $144M to $153MMar 12, 2018 to Mar 25, 2019
- Individual RAUM · $27.9M to $13.4MMar 12, 2018 to Mar 25, 2019
- Non-discretionary RAUM · $194M to $188MMar 12, 2018 to Mar 25, 2019
- Pension RAUM · $18.2M to $17.7MMar 12, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $15.0M to $11.4MMar 12, 2018 to Mar 25, 2019
- RAUM · $209M to $199MMar 12, 2018 to Mar 25, 2019
- Accounts · 561 to 552Mar 13, 2017 to Mar 12, 2018
- Advisory employees · 3 to 4Mar 13, 2017 to Mar 12, 2018
- Corporate clients · unset to 5.0Mar 13, 2017 to Mar 12, 2018
- HNW clients · unset to 69.0Mar 13, 2017 to Mar 12, 2018
- Individual clients · unset to 135.0Mar 13, 2017 to Mar 12, 2018
- Pooled vehicle clients · unset to 1.0Mar 13, 2017 to Mar 12, 2018
- Employees · 5 to 6Mar 13, 2017 to Mar 12, 2018
- Financial planning clients · unset to 26-50Mar 13, 2017 to Mar 12, 2018
- State-registered IARs · 3 to 4Mar 13, 2017 to Mar 12, 2018
- Other offices · unset to 0.0Mar 13, 2017 to Mar 12, 2018
- Discretionary RAUM · $17.8M to $15.0MMar 13, 2017 to Mar 12, 2018
- HNW RAUM · unset to 144129004.0Mar 13, 2017 to Mar 12, 2018
- Individual RAUM · unset to 27920562.0Mar 13, 2017 to Mar 12, 2018
- Non-discretionary RAUM · $175M to $194MMar 13, 2017 to Mar 12, 2018
- Pension RAUM · unset to 18234759.0Mar 13, 2017 to Mar 12, 2018
- Pooled vehicle RAUM · unset to 14952342.0Mar 13, 2017 to Mar 12, 2018
- RAUM · $192M to $209MMar 13, 2017 to Mar 12, 2018
- Accounts · 544 to 561Mar 12, 2016 to Mar 13, 2017
- Discretionary RAUM · $16.2M to $17.8MMar 12, 2016 to Mar 13, 2017
- Non-discretionary RAUM · $189M to $175MMar 12, 2016 to Mar 13, 2017
- RAUM · $205M to $192MMar 12, 2016 to Mar 13, 2017
- Accounts · 578 to 544Apr 17, 2015 to Mar 12, 2016
- Discretionary RAUM · $18.9M to $16.2MApr 17, 2015 to Mar 12, 2016
- Non-discretionary RAUM · $194M to $189MApr 17, 2015 to Mar 12, 2016
- RAUM · $213M to $205MApr 17, 2015 to Mar 12, 2016
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