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

A•••• C••••••

Former SEC-registered adviserCRD 174102SEC 801-80776IAPD
Legal name A•••• C••••••• I•••
Latest filing Mar 30, 2023
First filing on the tape Dec 16, 2014 · 15 filings
RAUM
$53.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.7%
$377,361 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$102M as of Mar 31, 2022
Mar 28, 2016$49,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2022
Mar 28, 20161 then
Employees (5.A)4 as of Mar 31, 2022
Mar 28, 20162 then
Private funds: no history
RAUM -70% over the last fiscal year-24% a year over threeIARs 3 to 1offices 2 to 1
Practice profile
derived from the filing of Mar 30, 2023; every figure names its basis
RAUM per advisor
$53.6MderivedRAUM 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
$3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-44%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • 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
  • State and municipal entities$53.2M99%
  • Individuals$377,3610.7%
Individual clients
3reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • W•••• R••••••• T••• · Chief Compliance Officercontrol
    since 09/2014 · owns 50% to 75%
  • W•••• B••••••• A•• · Secretary Of A••••, Inc.
    since 10/2014 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 26 to 17
    Mar 31, 2022 to Mar 30, 2023
  • Advisory employees · 4 to 1
    Mar 31, 2022 to Mar 30, 2023
  • Advisory activities · 3 to 2
    Mar 31, 2022 to Mar 30, 2023
  • Individual clients · 6 to 3
    Mar 31, 2022 to Mar 30, 2023
  • Employees · 4 to 1
    Mar 31, 2022 to Mar 30, 2023
  • Insurance-licensed employees · 2 to 1
    Mar 31, 2022 to Mar 30, 2023
  • State-registered IARs · 3 to 1
    Mar 31, 2022 to Mar 30, 2023
  • Other offices · 2 to 1
    Mar 31, 2022 to Mar 30, 2023
  • Discretionary RAUM · $102M to $53.6M
    Mar 31, 2022 to Mar 30, 2023
  • Individual RAUM · $627,058 to $377,361
    Mar 31, 2022 to Mar 30, 2023
  • Non-discretionary RAUM · $50,996 to $0
    Mar 31, 2022 to Mar 30, 2023
  • RAUM · $102M to $53.6M
    Mar 31, 2022 to Mar 30, 2023
  • Accounts · 7 to 26
    Apr 1, 2021 to Mar 31, 2022
  • Advisory employees · 3 to 4
    Apr 1, 2021 to Mar 31, 2022
  • Employees · 3 to 4
    Apr 1, 2021 to Mar 31, 2022
  • Discretionary RAUM · $181M to $102M
    Apr 1, 2021 to Mar 31, 2022
  • Individual RAUM · $611,886 to $627,058
    Apr 1, 2021 to Mar 31, 2022
  • Non-discretionary RAUM · $0 to $50,996
    Apr 1, 2021 to Mar 31, 2022
  • RAUM · $181M to $102M
    Apr 1, 2021 to Mar 31, 2022
  • Accounts · 23 to 7
    Jun 30, 2020 to Apr 1, 2021
  • Employees · 4 to 3
    Jun 30, 2020 to Apr 1, 2021
  • Discretionary RAUM · $187M to $181M
    Jun 30, 2020 to Apr 1, 2021
  • Individual RAUM · $568,356 to $611,886
    Jun 30, 2020 to Apr 1, 2021
  • RAUM · $187M to $181M
    Jun 30, 2020 to Apr 1, 2021
  • Accounts · 20 to 23
    Aug 29, 2019 to May 1, 2020
  • Discretionary RAUM · $601,757 to $187M
    Aug 29, 2019 to May 1, 2020
  • Individual RAUM · $601,757 to $568,356
    Aug 29, 2019 to May 1, 2020
  • Non-discretionary RAUM · $155M to $0
    Aug 29, 2019 to May 1, 2020
  • RAUM · $156M to $187M
    Aug 29, 2019 to May 1, 2020
  • Accounts · 14 to 20
    Jan 9, 2019 to Aug 29, 2019
  • Individual clients · 12 to 6
    Jan 9, 2019 to Aug 29, 2019
  • Employees · 5 to 4
    Jan 9, 2019 to Aug 29, 2019
  • Discretionary RAUM · $740,000 to $601,757
    Jan 9, 2019 to Aug 29, 2019
  • Individual RAUM · $740,000 to $601,757
    Jan 9, 2019 to Aug 29, 2019
  • Non-discretionary RAUM · $120M to $155M
    Jan 9, 2019 to Aug 29, 2019
  • RAUM · $121M to $156M
    Jan 9, 2019 to Aug 29, 2019
  • Accounts · 5 to 14
    Mar 30, 2018 to Jan 9, 2019
  • Advisory employees · 2 to 3
    Mar 30, 2018 to Jan 9, 2019
  • Individual clients · 7 to 12
    Mar 30, 2018 to Jan 9, 2019
  • Employees · 4 to 5
    Mar 30, 2018 to Jan 9, 2019
Signals
3 dated events
  • James Aaron Todd (Chief Technology Officer) no longer on Schedule A of A•••• C•••••• (listed 2022-03-31, absent 2023-03-30)
    Mar 30, 2023 · Control person left · inference
  • H••••• N••• H•••••• left A•••• C•••••• for A••••••••• A•••••••• I•• (registered 2023-07-11)
    Dec 31, 2022 · Advisor changed firm · fact
  • A•••• C•••••• filed its initial SEC registration (Form ADV)
    Dec 16, 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