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•• S••••••••• I•••

Former SEC-registered adviserDallas, TexasCRD 165117SEC 801-77030IAPD
Latest filing Mar 29, 2019
First filing on the tape Aug 7, 2012 · 13 filings
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.0%
$216M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$117M gross assets
History
13 filings and snapshots on the tape
RAUM$11B as of Mar 29, 2019
Mar 28, 2013$3.2B then
HNW client RAUM$216M as of Mar 29, 2019
Mar 29, 2018$147M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)19 as of Mar 29, 2019
Mar 28, 201322 then
Private funds1 as of Mar 29, 2019
Mar 28, 20131 then
RAUM +1.5% over the last fiscal year+4.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.1MderivedHNW RAUM over HNW clients
Average account
$199MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.5%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$117M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Investment companies$10B95%
  • Corporations and businesses$217M2.0%
  • High-net-worth individuals$216M2.0%
  • Pooled investment vehicles$117M1.1%
Individual clients
n/areported
HNW clients
42reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
55reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$117M for 1 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
      • F•••••••• K••••••• M•••• · Treasurercontrol
        since 06/2008 · owns less than 5%
      • L• B•••••••• C•••••• · Chief Legal Officercontrol
        since 02/2016 · owns less than 5%
      • P••••••• D••••• M•••••• · Directorcontrol
        since 12/2009 · owns less than 5%
      • P••••••••• M•••• A•• · Chief Compliance Officercontrol
        since 03/2014 · owns less than 5%
      • S••••••••• A•••••• P••••• · President And Directorcontrol
        since 10/2009 · owns less than 5%
      • C•••• L•••• A•• · Head Of Sma Client Services
        since 03/2018 · owns less than 5%
      Entity owners
      • O••••••••• I••• · Direct Owner
        direct · owns 75% or more
      • M••••••••• M••••• L••• I•••••••• C•••••• · Member
        indirect · owns 75% or more of Massmutual Holding, LLC
      • M••••••••• H•••••• L•• · Member
        indirect · owns 75% or more of Mm Asset Management Holding LLC
      • M• A•••• M••••••••• H•••••• L•• · Shareholder
        indirect · owns 75% or more of Oppenheimer Acquisition Corp.
      • O••••••••• A••••••••• C••••••••• · Shareholder
        indirect · owns 75% or more of Oppenheimerfunds, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list O•• S••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 80 to 55
        Apr 26, 2018 to Mar 29, 2019
      • HNW clients · 67 to 42
        Apr 26, 2018 to Mar 29, 2019
      • Assets in custody · $201M to $117M
        Apr 26, 2018 to Mar 29, 2019
      • Discretionary RAUM · $11B to $11B
        Apr 26, 2018 to Mar 29, 2019
      • HNW RAUM · $147M to $216M
        Apr 26, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $0 to $27.6M
        Apr 26, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $201M to $117M
        Apr 26, 2018 to Mar 29, 2019
      • RAUM · $11B to $11B
        Apr 26, 2018 to Mar 29, 2019
      • Accounts · 173 to 80
        Aug 9, 2017 to Mar 29, 2018
      • BD registered reps · 2 to 4
        Aug 9, 2017 to Mar 29, 2018
      • HNW clients · unset to 67.0
        Aug 9, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Aug 9, 2017 to Mar 29, 2018
      • Assets in custody · $276M to $201M
        Aug 9, 2017 to Mar 29, 2018
      • Employees · 18 to 19
        Aug 9, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Aug 9, 2017 to Mar 29, 2018
      • Discretionary RAUM · $12B to $11B
        Aug 9, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 146718686.0
        Aug 9, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · $82.1M to $0
        Aug 9, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 200777679.0
        Aug 9, 2017 to Mar 29, 2018
      • RAUM · $12B to $11B
        Aug 9, 2017 to Mar 29, 2018
      • Accounts · 200 to 173
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 11 to 10
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $219M to $276M
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 19 to 18
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $9.4B to $12B
        Mar 30, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $172M to $82.1M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $9.5B to $12B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 177 to 200
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $314M to $219M
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $14B to $9.4B
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $386M to $172M
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $14B to $9.5B
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 155 to 177
        Mar 28, 2014 to Mar 31, 2015
      • Advisory employees · 13 to 11
        Mar 28, 2014 to Mar 31, 2015
      • BD registered reps · 4 to 2
        Mar 28, 2014 to Mar 31, 2015
      • Assets in custody · $281M to $314M
        Mar 28, 2014 to Mar 31, 2015
      • Employees · 21 to 19
        Mar 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $9.9B to $14B
        Mar 28, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $0 to $386M
        Mar 28, 2014 to Mar 31, 2015
      • RAUM · $9.9B to $14B
        Mar 28, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • Shareholder Financial Services, Inc. filed its initial SEC registration (Form ADV)
        Aug 7, 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