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••••• I••••••••• P•••••••• L••
Latest filing Mar 4, 2023
First filing on the tape Jul 16, 2015 · 28 filings
RAUM
$702M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
89%
$626M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$702M as of Mar 2, 2023
Mar 11, 2016$450M then
HNW client RAUM$458M as of Mar 2, 2023
Mar 24, 2018$382M then
State-registered IARs (5.B.3)10 as of Mar 2, 2023
Mar 11, 201612 then
Employees (5.A)14 as of Mar 2, 2023
Mar 11, 201612 then
Private funds: no history
RAUM -9.6% over the last fiscal year+7.1% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Mar 4, 2023; every figure names its basis
- RAUM per advisor
- $70.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $330,747derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$458M65%
- Individuals$168M24%
- Pension and profit-sharing plans$74.3M11%
- Corporations and businesses$2.2M0.3%
- Individual clients
- 769reported
- HNW clients
- 192reported
- Pension plan clients
- 13reported
- Charitable clients
- n/areported
- Accounts
- 2,123reported
- 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
- P•••• B•••• F••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- C••••• B•••• M••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- C••••••••• S• S•• G•••••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- C••••• R•••• S••••••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- K•••• J••••• S•••••••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- C••• F•••••• F•••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- D•• D• B•••••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- R••••• P••• L••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- J•••• V•• W•••••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- J••• N••• M••••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- G•••••• A••••• A••••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• G••••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- J••••• P••• M•••••••• to N•••••• A•••••••May 5, 2023 · RIA to affiliated broker-dealer or bank
- Z•••••• R••• L••••• to E••••• J••••Dec 2, 2022 · RIA to affiliated broker-dealer or bank
- E••••• S•••• S••• to F•••• A••••• W••••• A•••••••• L••Jul 12, 2022 · RIA to a state-registered adviser
Joined, latest
- Z•••••• R••• L••••• from U••• B•••••• I••••••••• I•••Jul 9, 2020 · Affiliated broker-dealer or bank to independent RIA
- P•••• B•••• F••• from L•• F•••••••• L••Sep 8, 2015 · Other
- K•••• J••••• S•••••••• from L•• F•••••••• L••Aug 20, 2015 · Other
- G•••••• A••••• A••••• from L•• F•••••••• L••Aug 20, 2015 · Other
- C••••••••• S• S•• G•••••• from L•• F•••••••• L••Aug 18, 2015 · Other
- C•••• C••••••••• K••••• from L•• F•••••••• L••Aug 18, 2015 · Other
- E••••• S•••• S••• from L•• F•••••••• L••Aug 18, 2015 · Other
- D•• D• B•••••• from L•• F•••••••• L••Aug 18, 2015 · Other
- R••••• P••• L••• from L•• F•••••••• L••Aug 18, 2015 · Other
- J••• N••• M••••• from L•• F•••••••• L••Aug 18, 2015 · Other
- E•••••••• A•••••••• G••••• from L•• F•••••••• L••Aug 18, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 13 left for N•••••• A•••••••May 5, 2023 · Lafayette, La · Firm absorbed
- 8 joined from L•• F•••••••• L••Aug 25, 2015 · Lafayette, La
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• G••••••• A••••• · Managing Membercontrolsince 08/2015 · owns 75% or more
- G•••••• E••••••••• A•••••••• · Chief Compliance Officercontrolsince 08/2015 · owns less than 5%
Related persons
Schedule D 7.A
- E•••••••• A• G•••••• C••• A••••insurancen
- F••• I•••••••• A•••••• L••real estaten
- R••••• P• L•••• C••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,135 to 2,123Nov 29, 2022 to Mar 2, 2023
- Advisory employees · 11 to 10Nov 29, 2022 to Mar 2, 2023
- Corporate clients · 24 to 10Nov 29, 2022 to Mar 2, 2023
- HNW clients · 240 to 192Nov 29, 2022 to Mar 2, 2023
- Individual clients · 855 to 769Nov 29, 2022 to Mar 2, 2023
- Pension plan clients · 16 to 13Nov 29, 2022 to Mar 2, 2023
- Employees · 15 to 14Nov 29, 2022 to Mar 2, 2023
- State-registered IARs · 9 to 10Nov 29, 2022 to Mar 2, 2023
- Discretionary RAUM · $701M to $633MNov 29, 2022 to Mar 2, 2023
- HNW RAUM · $527M to $458MNov 29, 2022 to Mar 2, 2023
- Individual RAUM · $157M to $168MNov 29, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $75.3M to $68.7MNov 29, 2022 to Mar 2, 2023
- Pension RAUM · $81.1M to $74.3MNov 29, 2022 to Mar 2, 2023
- RAUM · $777M to $702MNov 29, 2022 to Mar 2, 2023
- State-registered IARs · 10 to 9Oct 21, 2021 to Mar 22, 2022
- Discretionary RAUM · $657M to $701MOct 21, 2021 to Mar 22, 2022
- HNW RAUM · $475M to $527MOct 21, 2021 to Mar 22, 2022
- Individual RAUM · $161M to $157MOct 21, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $0 to $75.3MOct 21, 2021 to Mar 22, 2022
- Pension RAUM · $1.5M to $81.1MOct 21, 2021 to Mar 22, 2022
- RAUM · $657M to $777MOct 21, 2021 to Mar 22, 2022
- Accounts · 1,991 to 1,135Oct 21, 2021 to Mar 22, 2022
- Advisory employees · 9 to 11Oct 21, 2021 to Mar 22, 2022
- Corporate clients · 34 to 24Oct 21, 2021 to Mar 22, 2022
- HNW clients · 205 to 240Oct 21, 2021 to Mar 22, 2022
- Individual clients · 754 to 855Oct 21, 2021 to Mar 22, 2022
- Pension plan clients · 2 to 16Oct 21, 2021 to Mar 22, 2022
- Employees · 14 to 15Oct 21, 2021 to Mar 22, 2022
- Financial planning clients · 11-25 to 1-10Oct 21, 2021 to Mar 22, 2022
- Accounts · 1,942 to 1,991May 5, 2020 to Mar 29, 2021
- Advisory employees · 10 to 9May 5, 2020 to Mar 29, 2021
- Corporate clients · 54 to 34May 5, 2020 to Mar 29, 2021
- HNW clients · 180 to 205May 5, 2020 to Mar 29, 2021
- Individual clients · 713 to 754May 5, 2020 to Mar 29, 2021
- Employees · 13 to 14May 5, 2020 to Mar 29, 2021
- State-registered IARs · 11 to 10May 5, 2020 to Mar 29, 2021
- Discretionary RAUM · $571M to $657MMay 5, 2020 to Mar 29, 2021
- HNW RAUM · $392M to $475MMay 5, 2020 to Mar 29, 2021
- Individual RAUM · $162M to $161MMay 5, 2020 to Mar 29, 2021
- Pension RAUM · $890,679 to $1.5MMay 5, 2020 to Mar 29, 2021
Signals
17 dated events
- C••••• R•••• S••••••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- K•••• J••••• S•••••••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- P•••• B•••• F••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- C••••• B•••• M••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- J••••• P••• M•••••••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- C••••••••• S• S•• G•••••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- D•• D• B•••••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- J••• N••• M••••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- E•••••••• A•••••••• G••••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- C••• F•••••• F•••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- G•••••• A••••• A••••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- J•••• V•• W•••••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- R••••• P••• L••• left A••••• I••••••••• P•••••••• L•• for N•••••• A••••••• (registered 2023-05-05)May 5, 2023 · Advisor changed firm · fact
- A••••• I••••••••• P•••••••• L••'s advisors moved to N•••••• A••••••• (Lafayette, LA): 13 of 13 registered, on the same dayMay 5, 2023 · Firm absorbed (people side) · derived
- Z•••••• R••• L••••• left A••••• I••••••••• P•••••••• L•• for E••••• J•••• (registered 2024-02-20)Dec 2, 2022 · Advisor changed firm · fact
- E••••• S•••• S••• left A••••• I••••••••• P•••••••• L•• for F•••• A••••• W••••• A•••••••• L•• (registered 2022-07-21)Jul 12, 2022 · Advisor changed firm · fact
- B•• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jul 16, 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