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
W•••••• I••••••••• L••
Latest filing Mar 21, 2017
First filing on the tape Feb 13, 2012 · 8 filings
RAUM
$112M
reported, Item 5.F
Discretionary
92%
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
2
$103M gross assets
History
8 filings and snapshots on the tape
RAUM$112M as of Mar 21, 2017
Mar 15, 2013$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 21, 2017
Mar 15, 20130 then
Employees (5.A)3 as of Mar 21, 2017
Mar 15, 20138 then
Private funds2 as of Mar 21, 2017
Mar 15, 20132 then
RAUM +11% over the last fiscal year-3.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 21, 2017; every figure names its basis
- RAUM per advisor
- $55.8MderivedRAUM 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
- $37.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $103M, 2 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
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
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $103M for 2 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
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• I••••••••• H••••• P••••••• L• | Hedge Fund | $69.4M | 33 | Feb 13, 2012 |
| W•••••• I••••••••• I••••••••• P••••••• L••no longer reported | Hedge Fund | $43.4M | 65 | Feb 13, 2012 |
| W•••••• I••••••••• T•••• R••••• P••••••• L• | Hedge Fund | $33.2M | 6 | Feb 13, 2012 |
| W•••••• I••••••••• A••••••• P••••••• L••no longer reported | Hedge Fund | $27.7M | 7 | Feb 13, 2012 |
| W•••••• I••••••••• T•••• R••••• F••• L••no longer reported | Hedge Fund | $12.5M | 2 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• A•••••• D•••• · Principalcontrolsince 05/1997 · owns 75% or more
- M•••••••• J••••• R•• · Chief Compliance Officer, Cfosince 09/2008 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- ,
What changed
consecutive filings, newest first
- Assets in custody · $97.2M to $103MMar 17, 2016 to Mar 21, 2017
- Discretionary RAUM · $97.2M to $103MMar 17, 2016 to Mar 21, 2017
- Non-discretionary RAUM · $3.2M to $9.1MMar 17, 2016 to Mar 21, 2017
- RAUM · $100M to $112MMar 17, 2016 to Mar 21, 2017
- Assets in custody · $110M to $97.2MMar 20, 2015 to Mar 17, 2016
- Discretionary RAUM · $110M to $97.2MMar 20, 2015 to Mar 17, 2016
- Non-discretionary RAUM · $3.1M to $3.2MMar 20, 2015 to Mar 17, 2016
- RAUM · $113M to $100MMar 20, 2015 to Mar 17, 2016
- Assets in custody · $99.7M to $110MMar 13, 2014 to Mar 20, 2015
- Discretionary RAUM · $99.7M to $110MMar 13, 2014 to Mar 20, 2015
- Non-discretionary RAUM · $22.8M to $3.1MMar 13, 2014 to Mar 20, 2015
- RAUM · $123M to $113MMar 13, 2014 to Mar 20, 2015
- Assets in custody · $63.8M to $99.7MDec 6, 2013 to Mar 13, 2014
- Employees · 4 to 3Dec 6, 2013 to Mar 13, 2014
- Private funds · 1 to 2Dec 6, 2013 to Mar 13, 2014
- Discretionary RAUM · $63.8M to $99.7MDec 6, 2013 to Mar 13, 2014
- Non-discretionary RAUM · $1.5M to $22.8MDec 6, 2013 to Mar 13, 2014
- RAUM · $65.3M to $123MDec 6, 2013 to Mar 13, 2014
- Accounts · 4 to 3Aug 22, 2013 to Dec 6, 2013
- Assets in custody · $97.0M to $63.8MAug 22, 2013 to Dec 6, 2013
- Employees · 5 to 4Aug 22, 2013 to Dec 6, 2013
- State-registered IARs · 0 to 2Aug 22, 2013 to Dec 6, 2013
- Private funds · 2 to 1Aug 22, 2013 to Dec 6, 2013
- Discretionary RAUM · $96.9M to $63.8MAug 22, 2013 to Dec 6, 2013
- Non-discretionary RAUM · $13.3M to $1.5MAug 22, 2013 to Dec 6, 2013
- RAUM · $110M to $65.3MAug 22, 2013 to Dec 6, 2013
- Advisory employees · 3 to 2Mar 15, 2013 to Aug 22, 2013
- Employees · 8 to 5Mar 15, 2013 to Aug 22, 2013
- HQ city · MIDVALE to unsetMar 15, 2013 to Aug 22, 2013
- HQ state · UT to unsetMar 15, 2013 to Aug 22, 2013
- Accounts · 7 to 4Feb 13, 2012 to Mar 15, 2013
- Advisory employees · unset to 3.0Feb 13, 2012 to Mar 15, 2013
- BD registered reps · unset to 0.0Feb 13, 2012 to Mar 15, 2013
- Assets in custody · $244M to $97.0MFeb 13, 2012 to Mar 15, 2013
- Employees · unset to 8.0Feb 13, 2012 to Mar 15, 2013
- State-registered IARs · unset to 0.0Feb 13, 2012 to Mar 15, 2013
- Private funds · 5 to 2Feb 13, 2012 to Mar 15, 2013
- Discretionary RAUM · $186M to $96.9MFeb 13, 2012 to Mar 15, 2013
- Non-discretionary RAUM · $58.3M to $13.3MFeb 13, 2012 to Mar 15, 2013
- RAUM · $244M to $110MFeb 13, 2012 to Mar 15, 2013
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