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.

Former SEC-registered adviser

Price Asset Management, Inc.

Former SEC-registered adviserChicago, IllinoisCRD 165030SEC 801-77076IAPD
Latest filing Jun 30, 2015
First filing on the tape Aug 20, 2012 · 8 filings
RAUM
$176M
reported, Item 5.F
Discretionary
88%
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
9
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$5.8M gross assets
History
8 filings and snapshots on the tape
RAUM$176M as of Mar 11, 2015
Mar 28, 2013$334M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 11, 2015
Mar 28, 20131 then
Employees (5.A)9 as of Mar 11, 2015
Mar 28, 201310 then
Private funds1 as of Mar 11, 2015
Mar 28, 20131 then
RAUM -32% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 30, 2015; every figure names its basis
RAUM per advisor
$176MderivedRAUM 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
$44.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
88%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-32%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$260M, 4 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$260M for 4 clientsreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M Roxanne Bennett · Managing Directorcontrol
        since 08/2010 · owns less than 5%
      • David John Reese · Chief Executive Officercontrol
        since 01/2012 · owns less than 5%
      • David Schink · Chief Operating Officercontrol
        since 01/2012 · owns less than 5%
      • Anthony Terrence Scott · Chief Compliance Officercontrol
        since 01/2012 · owns less than 5%
      • Thomas Walter Price · Trustee
        since 01/2010 · owns F of Price Holdings, Inc. Employee Stock Ownership Trust
      Entity owners
      • Price Holdings, Inc. · Holding Company
        direct · owns 75% or more
      • Price Holdings, Inc. Employee Stock Ownership Trust · Esop
        indirect · owns 75% or more of Price Holdings, Inc.
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        Mar 5, 2015 to Mar 11, 2015
      • Discretionary RAUM · $234M to $155M
        Mar 5, 2015 to Mar 11, 2015
      • Non-discretionary RAUM · $26.0M to $21.6M
        Mar 5, 2015 to Mar 11, 2015
      • RAUM · $260M to $176M
        Mar 5, 2015 to Mar 11, 2015
      • Advisory activities · 1 to 2
        Aug 7, 2014 to Mar 5, 2015
      • Accounts · 4 to 3
        Mar 28, 2013 to Mar 28, 2014
      • Advisory employees · 5 to 4
        Mar 28, 2013 to Mar 28, 2014
      • Assets in custody · $334M to $260M
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 10 to 9
        Mar 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $290M to $234M
        Mar 28, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $43.7M to $26.0M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $334M to $260M
        Mar 28, 2013 to Mar 28, 2014
      • Related bank · false to true
        Mar 28, 2013 to Mar 28, 2014
      • Advisory employees · unset to 5.0
        Aug 20, 2012 to Mar 28, 2013
      • BD registered reps · unset to 3.0
        Aug 20, 2012 to Mar 28, 2013
      • Assets in custody · $376M to $334M
        Aug 20, 2012 to Mar 28, 2013
      • Employees · unset to 10.0
        Aug 20, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 1.0
        Aug 20, 2012 to Mar 28, 2013
      • Discretionary RAUM · $315M to $290M
        Aug 20, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $61.4M to $43.7M
        Aug 20, 2012 to Mar 28, 2013
      • RAUM · $376M to $334M
        Aug 20, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • Price Asset Management, Inc. filed its initial SEC registration (Form ADV)
        Aug 20, 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