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
S••••• • H•••••• C•••••• M••••••••• L••
Latest filing May 22, 2019
First filing on the tape Sep 9, 2014 · 13 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
78%
$957M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$1.2B as of Mar 26, 2019
Feb 24, 2015$731M then
HNW client RAUM$867M as of Mar 26, 2019
Mar 23, 2018$873M then
State-registered IARs (5.B.3)7 as of Mar 26, 2019
Feb 24, 20156 then
Employees (5.A)9 as of Mar 26, 2019
Feb 24, 20156 then
Private funds: no history
RAUM -2.9% over the last fiscal year+17% a year over threeIARs 7 to 7
Practice profile
derived from the filing of May 22, 2019; every figure names its basis
- RAUM per advisor
- $176MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $707,719derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $231M, 197 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$867M70%
- Pension and profit-sharing plans$228M18%
- Individuals$89.1M7.2%
- Corporations and businesses$38.9M3.2%
- Charitable organizations$9.5M0.8%
- Individual clients
- 423reported
- HNW clients
- 253reported
- Pension plan clients
- 26reported
- Charitable clients
- 4reported
- Accounts
- 1,742reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $231M for 197 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- S••••• J••• H•••••• to H•••••• S••••••••• W••••• M••••••••• L••Jul 16, 2019 · RIA to a newly registered adviser
- T••• S••••• H•••••• to H•••••• S••••••••• W••••• M••••••••• L••Jul 16, 2019 · RIA to a newly registered adviser
- G•••••• J••• S••••• to S••••• F••••• O••••• L••Jul 16, 2019 · RIA to a newly registered adviser
- C••••• W•••• S••••••••• to H•••••• S••••••••• W••••• M••••••••• L••Jul 16, 2019 · RIA to a newly registered adviser
- D•••••• M•••••• S••••• to S••••• F••••• O••••• L••Jul 16, 2019 · RIA to a newly registered adviser
- R•••••• R•••••• to S••••• F••••• O••••• L••Jul 16, 2019 · RIA to a newly registered adviser
- D•••• C••• S••••• to S••••• F••••• O••••• L••Jul 16, 2019 · RIA to a newly registered adviser
Joined, latest
- S••••• J••• H•••••• from C••••• A•••••• N••••••• L••Oct 13, 2014 · Other
- T••• S••••• H•••••• from C••••• A•••••• N••••••• L••Oct 13, 2014 · Other
- C••••• W•••• S••••••••• from C••••• A•••••• N••••••• L••Oct 13, 2014 · Other
- D•••• C••• S••••• from S••••• • H•••••• C•••••• M••••••••• I••Oct 13, 2014 · Other
- G•••••• J••• S••••• from C••••• A•••••• N••••••• L••Oct 10, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for S••••• F••••• O••••• L••Jul 16, 2019 · New Orleans, La · Firm absorbed
- 3 left for H•••••• S••••••••• W••••• M••••••••• L••Jul 16, 2019 · New Orleans, La
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• S•••••• J••• · Managercontrolsince 10/2014 · owns less than 5%
- S•••••• D••••• C••• · Managercontrolsince 10/2014 · owns less than 5%
- S••••••••• C•••••• W•••• · Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
- H••••••• S•••••• J••• · Managing Membercontrolsince 01/2015 · owns 75% or more of H•••••• C•••••• M••••••••• L••
- S•••••• D••••• C••• · Managing Membercontrolsince 01/2015 · owns 75% or more of D•••• C• S•••••• L•••••
Entity owners
- D•••• C• S•••••• L••••• · Managing Memberdirect · owns 50% to 75%
- H•••••• C•••••• M••••••••• L•• · Managing Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- H•••••• S••••••••• W••••• M••••••••• L••investment advisernRAUM $618M
- S••••• F••••• O••••• L••investment advisernRAUM $3.4B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 26, 2019 to May 15, 2019
- Accounts · 1,548 to 1,742Mar 23, 2018 to Mar 26, 2019
- Charity clients · 3 to 4Mar 23, 2018 to Mar 26, 2019
- Corporate clients · 18 to 25Mar 23, 2018 to Mar 26, 2019
- HNW clients · 247 to 253Mar 23, 2018 to Mar 26, 2019
- Individual clients · 382 to 423Mar 23, 2018 to Mar 26, 2019
- Assets in custody · $212M to $231MMar 23, 2018 to Mar 26, 2019
- Discretionary RAUM · $1.0B to $1.0BMar 23, 2018 to Mar 26, 2019
- HNW RAUM · $873M to $867MMar 23, 2018 to Mar 26, 2019
- Individual RAUM · $109M to $89.1MMar 23, 2018 to Mar 26, 2019
- Non-discretionary RAUM · $267M to $228MMar 23, 2018 to Mar 26, 2019
- Pension RAUM · $255M to $228MMar 23, 2018 to Mar 26, 2019
- RAUM · $1.3B to $1.2BMar 23, 2018 to Mar 26, 2019
- Accounts · 1,365 to 1,548Apr 3, 2017 to Mar 23, 2018
- Advisory employees · 6 to 7Apr 3, 2017 to Mar 23, 2018
- Charity clients · unset to 3.0Apr 3, 2017 to Mar 23, 2018
- Corporate clients · unset to 18.0Apr 3, 2017 to Mar 23, 2018
- HNW clients · unset to 247.0Apr 3, 2017 to Mar 23, 2018
- Individual clients · unset to 382.0Apr 3, 2017 to Mar 23, 2018
- Pension plan clients · unset to 26.0Apr 3, 2017 to Mar 23, 2018
- Pooled vehicle clients · unset to 0.0Apr 3, 2017 to Mar 23, 2018
- Assets in custody · unset to 212039175.0Apr 3, 2017 to Mar 23, 2018
- Custody of client assets · false to trueApr 3, 2017 to Mar 23, 2018
- Employees · 7 to 9Apr 3, 2017 to Mar 23, 2018
- State-registered IARs · 6 to 7Apr 3, 2017 to Mar 23, 2018
- Other offices · unset to 0.0Apr 3, 2017 to Mar 23, 2018
- Discretionary RAUM · $717M to $1.0BApr 3, 2017 to Mar 23, 2018
- HNW RAUM · unset to 872534461.0Apr 3, 2017 to Mar 23, 2018
- Individual RAUM · unset to 108829929.0Apr 3, 2017 to Mar 23, 2018
- Non-discretionary RAUM · $188M to $267MApr 3, 2017 to Mar 23, 2018
- Pension RAUM · unset to 254599260.0Apr 3, 2017 to Mar 23, 2018
- RAUM · $906M to $1.3BApr 3, 2017 to Mar 23, 2018
- Accounts · 1,178 to 1,365Aug 30, 2016 to Mar 21, 2017
- Discretionary RAUM · $611M to $717MAug 30, 2016 to Mar 21, 2017
- Non-discretionary RAUM · $161M to $188MAug 30, 2016 to Mar 21, 2017
- RAUM · $772M to $906MAug 30, 2016 to Mar 21, 2017
- Accounts · 1,049 to 1,178Jul 9, 2015 to Mar 17, 2016
- BD registered reps · 6 to 7Jul 9, 2015 to Mar 17, 2016
- Employees · 6 to 7Jul 9, 2015 to Mar 17, 2016
- Discretionary RAUM · $591M to $611MJul 9, 2015 to Mar 17, 2016
Signals
2 dated events
- S••••• • H•••••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 40% from $905.5M (2017-04-03 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
- A•••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Sep 9, 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