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
O••••••• A••••••• A•• F•••••••• S•••••••• L••
Latest filing Mar 20, 2018
First filing on the tape Jun 1, 2012 · 42 filings
RAUM
$29.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
73%
$21.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$29.0M as of Mar 15, 2018
Mar 14, 2013$433,051 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 15, 2018
Mar 14, 201312 then
Employees (5.A)2 as of Mar 15, 2018
Mar 14, 201312 then
Private funds: no history
RAUM -8.5% over the last fiscal year+29% a year over threeIARs 30 to 2
Practice profile
derived from the filing of Mar 20, 2018; every figure names its basis
- RAUM per advisor
- $14.5MderivedRAUM 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
- $90,275derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -93%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$21.1M73%
- Pension and profit-sharing plans$7.9M27%
- Individual clients
- 273reported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 321reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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•••••• M••••• M••••• to F•••••• B••••••• A•••••••Feb 8, 2018 · RIA to a state-registered adviser
- S•••••• A••••• M••••• to B••••••••• C•••••• M••••••••• L••Dec 31, 2017 · RIA to RIA
- W•••••• J••• M•••• to P••••••• I••••••••• A••••••• L••Dec 15, 2017 · Other
- K•••• L•• A••••• to A•••••• A•••••••• L••Dec 1, 2017 · Other
- S••••• M•••••• D•••• to L•• W••••• M••••••••• L••Nov 28, 2017 · Other
- D••• R• S•••••• to F•••••••• G•••••• A•••• M••••••••• I•••Nov 10, 2017 · Other
- S•••••• J••••• A•••••• to V••••••••• A••••••• S•••••••Nov 10, 2017 · Other
- C••••••••• J••• C••••• to O••••••• A••••••• S••••••• L••Nov 2, 2017 · Other
- R•••••• L•• K••• to C••••• S••••• A•••••••• I•••Nov 2, 2017 · Other
- R•••••• L• A••• to C••••• S••••• A•••••••• I•••Sep 20, 2017 · Other
- B•••••• S•••• S•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 20, 2017 · Other
- M•••••• M•••• M•••••• to O••••••• A••••••• S••••••• L••Sep 20, 2017 · Other
- J••••• C•••• M••••••• to A•••• A••••••••• S••••••••• L••Sep 20, 2017 · Other
- P•••••• D••••• M•••••••• to M••••• I••••••••• L••Jun 7, 2017 · Other
- G••••• R•• B••••• to C••••••••• S••••••••• L••Jan 4, 2017 · Other
Joined, latest
- R•••••• L• A••• from M•• F•••••••• S•••••••• I•••Jul 25, 2017 · Other
- B•••••• S•••• S•••••• from A••••••••• F•••••••• S•••••••• L••Jun 20, 2017 · Other
- S•••••• A••••• M••••• from B••••••••• C•••••• M••••••••• I••Feb 27, 2017 · Other
- S•••••• J••••• A•••••• from O• I••••••••• M••••••••• C•Jan 27, 2017 · Other
- M•••••• M••••• M••••• from A•••• F•••••••• M••••••••• I•••May 20, 2015 · Other
- B•••• D••••• L••••• from S••May 7, 2015 · Other
- J••••• C•••• M••••••• from H••• S••••• A•••• M••••••••• L••May 5, 2015 · Other
- S••••• J•••• S••••••• from H••• S••••• A•••• M••••••••• L••May 4, 2015 · Other
- C••••••••• J••• C••••• from H••• S••••• A•••• M••••••••• L••May 1, 2015 · Other
- D•••• A•••• B••••••• from A••••• F•••••••• P•••••••• I•••Apr 21, 2015 · Other
- S••••• H••••• A•••••• from H••• S••••• A•••• M••••••••• L••Apr 20, 2015 · Other
- R•••••• L•• K••• from H••• S••••• A•••• M••••••••• L••Apr 17, 2015 · Other
- P•••••• D••••• M•••••••• from H••• S••••• A•••• M••••••••• L••Apr 17, 2015 · Other
- C••• E•••••• from H••• S••••• A•••• M••••••••• L••Apr 17, 2015 · Other
- W•••••• J••• M•••• from S•• A••••••• N••••••• L••Apr 2, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from H••• S••••• A•••• M••••••••• L••Apr 16, 2015 · Hot Springs, Ar · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• C••••••••• L••• · Chief Compliance Officercontrolsince 03/2012 · owns less than 5%
- P••••• R•••••• P•••••• · Vice President Of Salescontrolsince 09/2017 · owns less than 5%
- P••••• L••••• L••••• · Grantor And Trusteecontrolsince 08/1994 · owns F of R•• I••••••••• T••••
Entity owners
- L••••• A•••••••• I••• · Managing Memberdirect · owns 75% or more
- R•• I••••••••• T•••• · Majority Shareholderindirect · owns 50% to 75% of L••••• A•••••••• I•••
Related persons
Schedule D 7.A
- L••••• M•••••••• G••••• I•••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Feb 12, 2018 to Mar 15, 2018
- Individual clients · 274 to 273Feb 12, 2018 to Mar 15, 2018
- Pension plan clients · unset to 1.0Feb 12, 2018 to Mar 15, 2018
- Employees · 3 to 2Feb 12, 2018 to Mar 15, 2018
- State-registered IARs · 3 to 2Feb 12, 2018 to Mar 15, 2018
- Other offices · 2 to 0Feb 12, 2018 to Mar 15, 2018
- Individual RAUM · $29.0M to $21.1MFeb 12, 2018 to Mar 15, 2018
- Pension RAUM · unset to 7881213.0Feb 12, 2018 to Mar 15, 2018
- Advisory employees · 5 to 3Dec 22, 2017 to Feb 12, 2018
- Employees · 7 to 3Dec 22, 2017 to Feb 12, 2018
- State-registered IARs · 7 to 3Dec 22, 2017 to Feb 12, 2018
- Accounts · 341 to 321Dec 21, 2017 to Dec 22, 2017
- Individual clients · unset to 274.0Dec 21, 2017 to Dec 22, 2017
- Individual RAUM · unset to 28978230.0Dec 21, 2017 to Dec 22, 2017
- Non-discretionary RAUM · $31.7M to $29.0MDec 21, 2017 to Dec 22, 2017
- RAUM · $31.7M to $29.0MDec 21, 2017 to Dec 22, 2017
- Other offices · 28 to 2Dec 15, 2017 to Dec 21, 2017
- Advisory employees · 28 to 5Jul 13, 2017 to Dec 15, 2017
- Employees · 30 to 7Jul 13, 2017 to Dec 15, 2017
- State-registered IARs · 30 to 7Jul 13, 2017 to Dec 15, 2017
- Other offices · unset to 28.0Jul 13, 2017 to Dec 15, 2017
- Accounts · 205 to 341Feb 27, 2017 to Mar 27, 2017
- Advisory employees · 26 to 28Feb 27, 2017 to Mar 27, 2017
- BD registered reps · 1 to 0Feb 27, 2017 to Mar 27, 2017
- Employees · 29 to 30Feb 27, 2017 to Mar 27, 2017
- State-registered IARs · 29 to 30Feb 27, 2017 to Mar 27, 2017
- Non-discretionary RAUM · $26.7M to $31.7MFeb 27, 2017 to Mar 27, 2017
- RAUM · $26.7M to $31.7MFeb 27, 2017 to Mar 27, 2017
- Accounts · 56 to 205Jan 13, 2016 to Mar 14, 2016
- Advisory employees · 18 to 26Jan 13, 2016 to Mar 14, 2016
- Employees · 20 to 29Jan 13, 2016 to Mar 14, 2016
- State-registered IARs · 20 to 29Jan 13, 2016 to Mar 14, 2016
- Non-discretionary RAUM · $13.6M to $26.7MJan 13, 2016 to Mar 14, 2016
- RAUM · $13.6M to $26.7MJan 13, 2016 to Mar 14, 2016
- Accounts · 51 to 56Jan 22, 2015 to Mar 17, 2015
- Advisory employees · 15 to 18Jan 22, 2015 to Mar 17, 2015
- Employees · 17 to 20Jan 22, 2015 to Mar 17, 2015
- Financial planning clients · 1-10 to 11-25Jan 22, 2015 to Mar 17, 2015
- State-registered IARs · 17 to 20Jan 22, 2015 to Mar 17, 2015
- Non-discretionary RAUM · $11.7M to $13.6MJan 22, 2015 to Mar 17, 2015
Signals
1 dated events
- O••••••• A••••••• A•• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jun 1, 2012 · First SEC registration · fact
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