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
C••••• H•••• I••••••••• A•••••••• I•••
Latest filing Feb 15, 2017
First filing on the tape Jun 17, 2014 · 15 filings
RAUM
$193M
reported, Item 5.F
Discretionary
100%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$193M as of Feb 15, 2017
Mar 9, 2015$186M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 15, 2017
Mar 9, 20155 then
Employees (5.A)4 as of Feb 15, 2017
Mar 9, 20155 then
Private funds: no history
RAUM +7.0% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Feb 15, 2017; every figure names its basis
- RAUM per advisor
- $48.1MderivedRAUM 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
- $208,427derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
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
- 924reported
- Financial planning clients
- 251-500reported
- 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
- P••••• A••••• C•••••••• to C•••• P••••••••• L••Apr 4, 2017 · Other
- A•••• R••••• A••••••• to F•• W••••• M•••••••••Apr 4, 2017 · Other
- K•••• B• M••••••• to S••••••••• P•••••• C•••••• M••••••••• L••Apr 4, 2017 · Other
- E•••••••• L••• J••••••• to S•••• W••••• P•••••••Jan 27, 2017 · Other
Joined, latest
- P••••• A••••• C•••••••• from S••••••••• P•••••• C•••••• M••••••••• L••Jan 27, 2017 · Other
- A•••• R••••• A••••••• from S••••••••• P•••••• C•••••• M••••••••• L••Jan 27, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• K••••••••• A••• · Chief Compliance Officercontrolsince 05/2016 · owns less than 5%
- G•••••••• T••• · Evp, Wealth Management Groupsince 07/2016 · owns less than 5%
Entity owners
- G••••••• B••• A•• T•••• C•••••• · Shareholderdirect · owns 75% or more
- G••••••• B•••••• · Shareholderindirect · owns 75% or more of G••••••• B••• A•• T•••• C•••••• · public reporting company
Related persons
Schedule D 7.A
- G••••••• B••• A•• T•••• C••••••y
- S••••••••• P•••••• C•••••• M••••••••• L••investment advisernRAUM $5.0B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 940 to 924Jan 27, 2017 to Feb 15, 2017
- Advisory employees · 5 to 3Jan 27, 2017 to Feb 15, 2017
- Employees · 5 to 4Jan 27, 2017 to Feb 15, 2017
- Insurance-licensed employees · 0 to 2Jan 27, 2017 to Feb 15, 2017
- Discretionary RAUM · $180M to $193MJan 27, 2017 to Feb 15, 2017
- RAUM · $180M to $193MJan 27, 2017 to Feb 15, 2017
- Advisory employees · 4 to 5Aug 19, 2016 to Jan 27, 2017
- Employees · 4 to 5Aug 19, 2016 to Jan 27, 2017
- Accounts · 965 to 940Nov 2, 2015 to Feb 9, 2016
- Advisory employees · 5 to 4Nov 2, 2015 to Feb 9, 2016
- Employees · 5 to 4Nov 2, 2015 to Feb 9, 2016
- State-registered IARs · 5 to 4Nov 2, 2015 to Feb 9, 2016
- Discretionary RAUM · $186M to $180MNov 2, 2015 to Feb 9, 2016
- RAUM · $186M to $180MNov 2, 2015 to Feb 9, 2016
- Accounts · 1,003 to 965Oct 8, 2014 to Mar 9, 2015
- Advisory employees · 4 to 5Oct 8, 2014 to Mar 9, 2015
- State-registered IARs · 3 to 5Oct 8, 2014 to Mar 9, 2015
- Discretionary RAUM · $178M to $186MOct 8, 2014 to Mar 9, 2015
- RAUM · $178M to $186MOct 8, 2014 to Mar 9, 2015
- Advisory employees · 3 to 4Sep 5, 2014 to Oct 8, 2014
- Accounts · 0 to 1,003Jun 26, 2014 to Aug 11, 2014
- Discretionary RAUM · $0 to $178MJun 26, 2014 to Aug 11, 2014
- RAUM · $0 to $178MJun 26, 2014 to Aug 11, 2014
- Accounts · 1,009 to 0Jun 17, 2014 to Jun 26, 2014
- Discretionary RAUM · $178M to $0Jun 17, 2014 to Jun 26, 2014
- RAUM · $178M to $0Jun 17, 2014 to Jun 26, 2014
Signals
1 dated events
- C••••• H•••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jun 17, 2014 · 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