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
R••• F•••••••• I•••
Latest filing Feb 1, 2023
First filing on the tape Jan 28, 2015 · 20 filings
RAUM
$156M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$156M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$156M as of Feb 1, 2023
Feb 2, 2018$106M then
HNW client RAUM$109M as of Feb 1, 2023
Feb 2, 2018$55.6M then
State-registered IARs (5.B.3)2 as of Feb 1, 2023
Feb 2, 20182 then
Employees (5.A)3 as of Feb 1, 2023
Feb 2, 20183 then
Private funds: no history
RAUM -16% over the last fiscal year+4.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 1, 2023; every figure names its basis
- RAUM per advisor
- $77.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $184,617derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -45%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $1.0M, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$109M70%
- Individuals$46.6M30%
- Individual clients
- 181reported
- HNW clients
- 82reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 843reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.0M for 1 clientsreported
- 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
- R••••• A•••••• R••• to W••••• E••••••••• A••••••• S•••••••• L••Jul 10, 2023 · RIA to RIA
- E••• A••••••• to W••••• E••••••••• A••••••• S•••••••• L••Jul 10, 2023 · RIA to RIA
- R••• P• M••••• to L•• F•••••••• L••Feb 1, 2022 · RIA to affiliated broker-dealer or bank
- E••• B•••••• C•••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 5, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- R••• P• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 2, 2019 · Wirehouse to independent RIA
- E••• B•••••• C•••••••• from E••••• J••••Apr 5, 2019 · Affiliated broker-dealer or bank to independent RIA
- R••••• A•••••• R••• from L•• F•••••••• L••Apr 22, 2015 · Other
- E••• A••••••• from L•• F•••••••• L••Apr 22, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W••••• E••••••••• A••••••• S•••••••• L••Jul 10, 2023 · Denver, Co
- 2 joined from L•• F•••••••• L••Oct 6, 2020 · Franktown, Co
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• E•••• D••••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- R•••• R•••••• A•••••• · Managing Membercontrolsince 01/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 898 to 843Feb 16, 2022 to Feb 1, 2023
- HNW clients · 37 to 82Feb 16, 2022 to Feb 1, 2023
- Individual clients · 437 to 181Feb 16, 2022 to Feb 1, 2023
- Employees · 4 to 3Feb 16, 2022 to Feb 1, 2023
- Discretionary RAUM · $180M to $142MFeb 16, 2022 to Feb 1, 2023
- HNW RAUM · $70.1M to $109MFeb 16, 2022 to Feb 1, 2023
- Individual RAUM · $116M to $46.6MFeb 16, 2022 to Feb 1, 2023
- Non-discretionary RAUM · $5.6M to $13.6MFeb 16, 2022 to Feb 1, 2023
- RAUM · $186M to $156MFeb 16, 2022 to Feb 1, 2023
- Accounts · 405 to 898Feb 1, 2021 to Feb 16, 2022
- Advisory employees · 3 to 2Feb 1, 2021 to Feb 16, 2022
- BD registered reps · 3 to 2Feb 1, 2021 to Feb 16, 2022
- HNW clients · 21 to 37Feb 1, 2021 to Feb 16, 2022
- Individual clients · 394 to 437Feb 1, 2021 to Feb 16, 2022
- Employees · 3 to 4Feb 1, 2021 to Feb 16, 2022
- State-registered IARs · 3 to 2Feb 1, 2021 to Feb 16, 2022
- Discretionary RAUM · $147M to $180MFeb 1, 2021 to Feb 16, 2022
- HNW RAUM · $42.2M to $70.1MFeb 1, 2021 to Feb 16, 2022
- Individual RAUM · $105M to $116MFeb 1, 2021 to Feb 16, 2022
- Non-discretionary RAUM · $0 to $5.6MFeb 1, 2021 to Feb 16, 2022
- RAUM · $147M to $186MFeb 1, 2021 to Feb 16, 2022
- Accounts · 675 to 405Dec 7, 2020 to Feb 1, 2021
- Advisory activities · 2 to 3Dec 7, 2020 to Feb 1, 2021
- Individual clients · 358 to 394Dec 7, 2020 to Feb 1, 2021
- Financial planning clients · 251-500 to 1-10Dec 7, 2020 to Feb 1, 2021
- Discretionary RAUM · $132M to $147MDec 7, 2020 to Feb 1, 2021
- HNW RAUM · $35.4M to $42.2MDec 7, 2020 to Feb 1, 2021
- Individual RAUM · $100M to $105MDec 7, 2020 to Feb 1, 2021
- Non-discretionary RAUM · $3.5M to $0Dec 7, 2020 to Feb 1, 2021
- RAUM · $136M to $147MDec 7, 2020 to Feb 1, 2021
- Accounts · 352 to 675Aug 30, 2019 to Jan 28, 2020
- Advisory employees · 2 to 3Aug 30, 2019 to Jan 28, 2020
- BD registered reps · 2 to 3Aug 30, 2019 to Jan 28, 2020
- HNW clients · 15 to 21Aug 30, 2019 to Jan 28, 2020
- Individual clients · 337 to 358Aug 30, 2019 to Jan 28, 2020
- Assets in custody · unset to 1000000.0Aug 30, 2019 to Jan 28, 2020
- Custody of client assets · false to trueAug 30, 2019 to Jan 28, 2020
- Insurance-licensed employees · 2 to 0Aug 30, 2019 to Jan 28, 2020
- Financial planning clients · 1-10 to 251-500Aug 30, 2019 to Jan 28, 2020
- State-registered IARs · 2 to 3Aug 30, 2019 to Jan 28, 2020
Signals
6 dated events
- E••• A••••••• left R••• F•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-07-05)Jul 10, 2023 · Advisor changed firm · fact
- R••••• A•••••• R••• left R••• F•••••••• I••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2023-07-05)Jul 10, 2023 · Advisor changed firm · fact
- 2 advisors left R••• F•••••••• I••• (Denver, CO) for W••••• E••••••••• A••••••• S•••••••• L•• on the same dayJul 10, 2023 · Team lift-out · derived
- Donald E••• A••••••• (Chief Compliance Officer) appeared on Schedule A of R••• F•••••••• I•••Feb 16, 2022 · Control person joined · fact
- R••• P• M••••• left R••• F•••••••• I••• for L•• F•••••••• L•• (registered 2022-02-04)Feb 1, 2022 · Advisor changed firm · fact
- R••• F•••••••• I••• filed its initial SEC registration (Form ADV)Jan 28, 2015 · 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