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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
F••••••• C•••••• A••••••• I•••
Latest filing Mar 22, 2024
First filing on the tape Feb 18, 2015 · 21 filings
RAUM
$262M
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
67%
$176M 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
21 filings and snapshots on the tape
RAUM$262M as of Mar 22, 2024
Mar 30, 2017$130M then
HNW client RAUM$150M as of Mar 22, 2024
Mar 26, 2018$71.7M then
State-registered IARs (5.B.3)2 as of Mar 22, 2024
Mar 30, 20171 then
Employees (5.A)3 as of Mar 22, 2024
Mar 30, 20173 then
Private funds: no history
RAUM +13% over the last fiscal year+3.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 22, 2024; every figure names its basis
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $703,330derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%derivedof RAUM
- Institutional
- 33%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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $37.9M, 79 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$150M57%
- Charitable organizations$86.0M33%
- Individuals$26.4M10%
- Individual clients
- 99reported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 373reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.9M for 79 clientsreported
- Compensation
- % of AUM, 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
none on the tape
Joined, latest
- T•••••• L••••••• D••••• from S••••••••• W••••• M••••••••• I•••Aug 9, 2018 · Other
- J••••• S•••••• P••••• from A••••••• S••••••••• G••••• I•••Mar 12, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• J•••••• S•••••• · President And Ccocontrolsince 02/2015 · owns 75% or more
- D•••••• T••••••• L••••••• · Investment Advisor Representativesince 12/2021 · owns 10% to 25%
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 · 364 to 373Sep 5, 2023 to Mar 22, 2024
- Charity clients · 5.0 to unsetSep 5, 2023 to Mar 22, 2024
- Individual clients · 100 to 99Sep 5, 2023 to Mar 22, 2024
- Assets in custody · $34.4M to $37.9MSep 5, 2023 to Mar 22, 2024
- Discretionary RAUM · $148M to $165MSep 5, 2023 to Mar 22, 2024
- HNW RAUM · $136M to $150MSep 5, 2023 to Mar 22, 2024
- Individual RAUM · $22.5M to $26.4MSep 5, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $85.0M to $97.5MSep 5, 2023 to Mar 22, 2024
- RAUM · $233M to $262MSep 5, 2023 to Mar 22, 2024
- Accounts · 319 to 364Nov 15, 2022 to Mar 6, 2023
- Advisory activities · 3 to 4Nov 15, 2022 to Mar 6, 2023
- Charity clients · unset to 5.0Nov 15, 2022 to Mar 6, 2023
- Individual clients · 84 to 100Nov 15, 2022 to Mar 6, 2023
- Assets in custody · $246M to $34.4MNov 15, 2022 to Mar 6, 2023
- Discretionary RAUM · $160M to $148MNov 15, 2022 to Mar 6, 2023
- HNW RAUM · $146M to $136MNov 15, 2022 to Mar 6, 2023
- Individual RAUM · $22.5M to $22.5MNov 15, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $85.5M to $85.0MNov 15, 2022 to Mar 6, 2023
- Pension RAUM · 1881231.0 to unsetNov 15, 2022 to Mar 6, 2023
- RAUM · $246M to $233MNov 15, 2022 to Mar 6, 2023
- Accounts · 302 to 319Mar 23, 2021 to Mar 23, 2022
- HNW clients · 41 to 44Mar 23, 2021 to Mar 23, 2022
- Individual clients · 80 to 84Mar 23, 2021 to Mar 23, 2022
- Assets in custody · $234M to $246MMar 23, 2021 to Mar 23, 2022
- Discretionary RAUM · $152M to $160MMar 23, 2021 to Mar 23, 2022
- HNW RAUM · $133M to $146MMar 23, 2021 to Mar 23, 2022
- Individual RAUM · $18.5M to $22.5MMar 23, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $82.5M to $85.5MMar 23, 2021 to Mar 23, 2022
- Pension RAUM · $2.0M to $1.9MMar 23, 2021 to Mar 23, 2022
- RAUM · $234M to $246MMar 23, 2021 to Mar 23, 2022
- Other offices · 1 to 0Mar 18, 2021 to Mar 23, 2021
- Accounts · 296 to 302Jun 24, 2020 to Mar 18, 2021
- HNW clients · 34 to 41Jun 24, 2020 to Mar 18, 2021
- Individual clients · 62 to 80Jun 24, 2020 to Mar 18, 2021
- Assets in custody · $133M to $234MJun 24, 2020 to Mar 18, 2021
- Discretionary RAUM · $119M to $152MJun 24, 2020 to Mar 18, 2021
- HNW RAUM · $102M to $133MJun 24, 2020 to Mar 18, 2021
- Individual RAUM · $16.9M to $18.5MJun 24, 2020 to Mar 18, 2021
- Non-discretionary RAUM · $76.6M to $82.5MJun 24, 2020 to Mar 18, 2021
- Pension RAUM · $2.1M to $2.0MJun 24, 2020 to Mar 18, 2021
Signals
1 dated events
- F••••••• C•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Feb 18, 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