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
U•••••• I••••••••• I•••
Latest filing Dec 7, 2012
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$15.5M
reported, Item 5.F
Discretionary
0.0%
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
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$15.5M as of Dec 7, 2012
Mar 29, 2012$15.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Dec 7, 2012
Mar 29, 20120 then
Employees (5.A)4 as of Dec 7, 2012
Nov 16, 20124 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 7, 2012; every figure names its basis
- RAUM per advisor
- $3.9MderivedRAUM 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
- $310,690derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- is a broker-dealer (6.A.1)
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
- 50reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- L•••• J••••• R••••• to G••••• A••••••• S•••••••• L••Aug 5, 2015 · Other
- T•••••• V••••• S••••••• to G••••• P•••••• S•••••••• L••Mar 27, 2015 · Other
- K••••••• Q•••••• F•• to P••• V••••• I•••••••••Mar 27, 2015 · Other
- T••••• J• C••••••• to P••• V••••• I•••••••••Mar 27, 2015 · Other
- E••••• L•••••• S••• to C••••••••• F•••••••• N••••••Oct 1, 2014 · Other
- D•••• A•••• E•••• to T•• M••••••• F•••••••• G••••• I••Aug 5, 2011 · Other
Joined, latest
- K••••••• Q•••••• F•• from G••••• A••••••• S•••••••• L••Jul 24, 2014 · Other
- T••••• J• C••••••• from G••••• A••••••• S•••••••• L••Jul 24, 2014 · Other
- E••••• L•••••• S••• from S••• F•••••••• S•••••••• L••Nov 16, 2012 · Other
- D•••• A•••• E•••• from P••••••••• C•••••• M••••••••• C••••May 6, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P••• V••••• I•••••••••Mar 27, 2015 · King Of Prussia, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• K•••••• D••• · Presidentcontrolsince 04/2001 · owns less than 5%
- J••••••• D••••• G••• · Vice President/Chief Financial And Operations Principalcontrolsince 04/2001 · owns less than 5%
- T••••• K•••• E•••••••• · Vice President/Chief Compliance Officercontrolsince 04/2001 · owns less than 5%
Entity owners
- U•••••• B••• A•• T•••• C•• · Holding Companydirect · owns 75% or more
- U•••••• C••••••••• O• P••••••••• · Parentindirect · owns 75% or more of U•••••• B••• A•• T•••• C•• · public reporting company
Related persons
Schedule D 7.A
- G••••• P•••••• S•••••••• L••investment advisernRAUM $734M
- U•••••• B••• A•• T•••• C••y
- U•••••• I••••••••• I•••real estaten
Advisers that list U•••••• I••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · unset to 4.0Sep 14, 2012 to Nov 16, 2012
- BD registered reps · unset to 4.0Sep 14, 2012 to Nov 16, 2012
- Employees · unset to 4.0Sep 14, 2012 to Nov 16, 2012
- State-registered IARs · 0 to 4Sep 14, 2012 to Nov 16, 2012
Signals
No event on the tape.
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