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
F••• A•••••••
Legal name F•••• M•••••• S••••••••• I•••
Latest filing Mar 26, 2015
First filing on the tape Nov 22, 2011 · 48 filings
RAUM
$169M
reported, Item 5.F
Discretionary
64%
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
9
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$169M as of Mar 26, 2015
Mar 23, 2012$122M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 26, 2015
Feb 22, 20136 then
Employees (5.A)9 as of Mar 26, 2015
Feb 22, 201312 then
Private funds: no history
RAUM +17% over the last fiscal year+12% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 26, 2015; every figure names its basis
- RAUM per advisor
- $28.2MderivedRAUM 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
- $340,083derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%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
- 1.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 498reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- S••••• D•••• R•••• to N•• A••••••• S••••••• I••Jul 31, 2015 · Other
- K••••••• K•• D•••••• to A•••••• I••••••••• A•••••••• L••Jul 31, 2015 · Other
- W•••••• S••••• S••••• to O•••• W•••••• I•••Jul 31, 2015 · Other
- G••• D••••••• R•••••••• to N•• A••••••• S••••••• I••Jul 31, 2015 · Other
- K•••• C•••••• C•••••••• to O•••• W•••••• I•••Jul 31, 2015 · Other
- M••• D••••• L••••••• to M• C•••••• M••••••••• L••Jun 5, 2015 · Other
- S••• P•••••• C•••• to O•••• W•••••• I•••May 12, 2015 · Other
- D•••• J••• N••••••• to O•••• W•••••• I•••Apr 16, 2015 · Other
- J•••• D•••••• to I• A••••••• S•••••••• I•••Apr 16, 2015 · Other
- J•••• P•••••• D•••• to I••••••••• F•••••••• G••••• L••Apr 16, 2015 · Other
- D••••• A••••• M••• to I••••••••• F•••••••• G••••• L••Feb 23, 2015 · Other
- M•••••• B•••• L••••• to C••••• • A••••••••• I•••Feb 23, 2015 · Other
- K••••• G••• to L•• F•••••••• L••Nov 6, 2014 · Other
- J••••• B• N••• to J••• M••••• S••••••••• L••Oct 23, 2014 · Other
- J•••••• E••• D••••• to W•• A•••••••• L•Oct 22, 2014 · Other
Joined, latest
- B••• R•••••• M••• from W••••••• F•••••••• S•••••••• I•••Sep 1, 2011 · Other
- P•••••• A••••• V•••• from W••••••• F•••••••• S•••••••• I•••Sep 1, 2011 · Other
- M••• D••••• L••••••• from L•• F•••••••• L••Aug 11, 2011 · Other
- S••••• D•••• R•••• from C••••••• W••••• • C••Jul 11, 2011 · Other
- G••• D••••••• R•••••••• from C••••••• W••••• • C••Oct 20, 2010 · Other
- J••••• K••• B••••••• from A•••••• C•••••• M••••••••• I••Sep 23, 2010 · Other
- L••••••• E• S••••••••• from C•••• I••••••••• S••••••• C••••Jun 25, 2010 · Other
- R••••• M•••••• K••• from U•• F•••••••• S••••••• I•••May 24, 2010 · Other
- J•••• D•••••• from G•••••••• F••••••••• I••Mar 30, 2010 · Other
- J••••• L••••••• F•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 20, 2009 · Other
- R•••• L•• G••••• from O• I••••••••• M••••••••• C•Nov 20, 2008 · Other
- M•••••• V•••••• M•••••• from J• P• T••••• • C•••••• C•••••• M••••••••• L••Oct 17, 2008 · Other
- K•••• C•••••• C•••••••• from A•••••• I••••••••• M••••••••• C•••••• L••Jan 4, 2007 · Other
- D••••• A••••• M••• from J••• M••••• S••••••••• L••Mar 6, 2006 · Other
- L••••• P•••••• P••••• from R•••••• J•••• • A••••••••• I•••Sep 22, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for N•• A••••••• S••••••• I••Jul 31, 2015 · Newport Beach, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• J•••• · Chairman/Ceo0252013/Muni Principal 11/2014controlsince 11/1989 · owns less than 5%
- L••••• J•••• · Chairman/Ceo 01252013controlsince 11/1989 · owns 25% to 50% of T•• I••••••••• C••• I•••
- C••••••• G••••• S•••• · Ria Cco/Aml Cosince 01/2015 · owns less than 5%
- S•••••• K•••• · Operations Principal/Vp/Coo/Rosfp-Options Manager/Ccosince 03/2014 · owns less than 5%
- T••••••••• E•••••••• M•••• · Finopsince 09/2012 · owns less than 5%
- B••••••• T•••• L••• · Shareholdersince 01/2011 · owns 25% to 50% of The Investment Company
- C•••••••• W•••••• H••••• · Shareholdersince 01/2012 · owns F of T•• I••••••••• C••• I•••
- H•••••• J•••• E••• · Chief Legal Officersince 09/2014 · owns F of T•• I••••••••• C••• I•••
- N•••••••• D•••• J••• · Board Member/Treasurersince 11/1989 · owns F of T•• I••••••••• C••• I•••
- N•••• J••••• B•••• · Shareholdersince 01/2011 · owns F of T•• I••••••••• C••• I•••
- S•••••• K•••• · Shareholder/Board Member-Director 011613/Rosfp-Options Manager 20140321since 01/2011 · owns F of T•• I••••••••• C••• I•••
Entity owners
- T•• I••••••••• C••• I••• · Holding Corp.direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Astatula, FL
- Bloomington, IL
- Denver, CO
- Newport Beach, CA
- ,
What changed
consecutive filings, newest first
- Accounts · 528 to 498Jan 9, 2015 to Mar 26, 2015
- Discretionary RAUM · $89.7M to $108MJan 9, 2015 to Mar 26, 2015
- Non-discretionary RAUM · $55.6M to $61.0MJan 9, 2015 to Mar 26, 2015
- RAUM · $145M to $169MJan 9, 2015 to Mar 26, 2015
- Accounts · 609 to 528Jan 23, 2014 to Feb 28, 2014
- Advisory employees · 7 to 6Jan 23, 2014 to Feb 28, 2014
- BD registered reps · 12 to 9Jan 23, 2014 to Feb 28, 2014
- Employees · 12 to 9Jan 23, 2014 to Feb 28, 2014
- Insurance-licensed employees · 0 to 6Jan 23, 2014 to Feb 28, 2014
- Discretionary RAUM · $109M to $89.7MJan 23, 2014 to Feb 28, 2014
- Non-discretionary RAUM · $52.4M to $55.6MJan 23, 2014 to Feb 28, 2014
- RAUM · $161M to $145MJan 23, 2014 to Feb 28, 2014
- Accounts · 512 to 609Feb 12, 2013 to Feb 22, 2013
- Advisory employees · 11 to 7Feb 12, 2013 to Feb 22, 2013
- BD registered reps · 17 to 12Feb 12, 2013 to Feb 22, 2013
- Commission compensation · true to falseFeb 12, 2013 to Feb 22, 2013
- Employees · 17 to 12Feb 12, 2013 to Feb 22, 2013
- State-registered IARs · 7 to 6Feb 12, 2013 to Feb 22, 2013
- Discretionary RAUM · $90.5M to $109MFeb 12, 2013 to Feb 22, 2013
- Non-discretionary RAUM · $31.3M to $52.4MFeb 12, 2013 to Feb 22, 2013
- RAUM · $122M to $161MFeb 12, 2013 to Feb 22, 2013
- Advisory employees · unset to 11.0Sep 25, 2012 to Dec 4, 2012
- BD registered reps · unset to 17.0Sep 25, 2012 to Dec 4, 2012
- Employees · unset to 17.0Sep 25, 2012 to Dec 4, 2012
- State-registered IARs · unset to 7.0Sep 25, 2012 to Dec 4, 2012
- Accounts · 174 to 512Feb 21, 2012 to Mar 23, 2012
- Advisory activities · 3 to 4Feb 21, 2012 to Mar 23, 2012
- Discretionary RAUM · $20.7M to $90.5MFeb 21, 2012 to Mar 23, 2012
- Non-discretionary RAUM · $10.5M to $31.3MFeb 21, 2012 to Mar 23, 2012
- RAUM · $31.2M to $122MFeb 21, 2012 to Mar 23, 2012
- Insurance-licensed employees · unset to 0.0Nov 22, 2011 to Jan 17, 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