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
P•••••• B••••••• A•• C•••••••••
Legal name M••••••••• L••
Latest filing Mar 31, 2015
First filing on the tape Jul 17, 2012 · 6 filings
RAUM
$615M
reported, Item 5.F
Discretionary
14%
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
7
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$615M as of Mar 31, 2015
Mar 27, 2013$120M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 31, 2015
Mar 27, 20133 then
Employees (5.A)7 as of Mar 31, 2015
Mar 27, 20135 then
Private funds: no history
RAUM +339% over the last fiscal yearIARs 3 to 5
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
- RAUM per advisor
- $123MderivedRAUM 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
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 14%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +339%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%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 advisers, educational seminars, 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
- is an insurance broker or agent (6.A.6)
- 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
- 500reported
- Financial planning clients
- 101-250reported
- 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
- C••••••••• J•• T•••••• to O•••• A••••••• S•••••••• L••Dec 31, 2015 · Other
- L••• J• G•••••• to M••••• S••••••Dec 31, 2015 · Other
- R•••••• B•••••• B•••• to O•••• A••••••• S•••••••• L••Dec 31, 2015 · Other
- W•••• K••••••• to S••Jul 16, 2013 · Other
Joined, latest
- C••••••••• J•• T•••••• from N•• E•••••• S••••••••• C•••••••••Feb 23, 2015 · Other
- R•••••• B•••••• B•••• from O•••• W•••••• I•••Feb 4, 2015 · Other
- L••• J• G•••••• from R•••••• W•••••Jul 24, 2012 · Other
- W•••• K••••••• from R•••••• W•••••Jul 24, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O•••• A••••••• S•••••••• L••Dec 31, 2015 · Rocky River, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• D•••••• B••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 05/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 459 to 500Mar 31, 2014 to Mar 31, 2015
- Advisory employees · 3 to 5Mar 31, 2014 to Mar 31, 2015
- BD registered reps · 3 to 5Mar 31, 2014 to Mar 31, 2015
- Employees · 5 to 7Mar 31, 2014 to Mar 31, 2015
- Financial planning clients · 0 to 101-250Mar 31, 2014 to Mar 31, 2015
- State-registered IARs · 3 to 5Mar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $60.0M to $85.0MMar 31, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $80.0M to $530MMar 31, 2014 to Mar 31, 2015
- RAUM · $140M to $615MMar 31, 2014 to Mar 31, 2015
- Accounts · 351 to 459Mar 27, 2013 to Mar 31, 2014
- Discretionary RAUM · $100M to $60.0MMar 27, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $20.0M to $80.0MMar 27, 2013 to Mar 31, 2014
- RAUM · $120M to $140MMar 27, 2013 to Mar 31, 2014
- Accounts · 600 to 351Nov 13, 2012 to Mar 27, 2013
- Accounts · 0 to 600Jul 25, 2012 to Nov 13, 2012
- Advisory employees · unset to 3.0Jul 25, 2012 to Nov 13, 2012
- BD registered reps · unset to 3.0Jul 25, 2012 to Nov 13, 2012
- Employees · unset to 5.0Jul 25, 2012 to Nov 13, 2012
- State-registered IARs · unset to 3.0Jul 25, 2012 to Nov 13, 2012
- Discretionary RAUM · $0 to $100MJul 25, 2012 to Nov 13, 2012
- Non-discretionary RAUM · $0 to $20.0MJul 25, 2012 to Nov 13, 2012
- RAUM · $0 to $120MJul 25, 2012 to Nov 13, 2012
Signals
1 dated events
- P•••••• B••••••• A•• C••••••••• filed its initial SEC registration (Form ADV)Jul 17, 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