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
D• P••••••• A•••• M•••••••••
Legal name D••••••••• • C••• I•••
Latest filing Apr 24, 2014
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$48.8M
reported, Item 5.F
Discretionary
100%
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
6
3 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$48.8M as of Mar 31, 2014
Mar 29, 2012$42.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 29, 20120 then
Employees (5.A)6 as of Mar 31, 2014
Apr 1, 20134 then
Private funds: no history
RAUM +59% over the last fiscal yearIARs 4 to 0
Practice profile
derived from the filing of Apr 24, 2014; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $413,511derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +59%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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)
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
- 118reported
- 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
- R•••••• H••••• W••••• to A•••• C•••••• C••••Jul 25, 2014 · Other
- T•• T•••• H••••••• to A••••••• S••••••• N••••••Jan 4, 2012 · Other
Joined, latest
- T•• T•••• H••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jul 1, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• C••••••••• J••• · Vp And Finopcontrolsince 07/1989 · owns 75% or more
- M••••• D•••••• M•••• · President & Chief Compliance Officercontrolsince 07/1989 · owns less than 5%
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 · 75 to 118Apr 1, 2013 to Mar 31, 2014
- Advisory employees · 4 to 3Apr 1, 2013 to Mar 31, 2014
- BD registered reps · 4 to 6Apr 1, 2013 to Mar 31, 2014
- Employees · 4 to 6Apr 1, 2013 to Mar 31, 2014
- State-registered IARs · 4 to 0Apr 1, 2013 to Mar 31, 2014
- Discretionary RAUM · $30.6M to $48.8MApr 1, 2013 to Mar 31, 2014
- RAUM · $30.6M to $48.8MApr 1, 2013 to Mar 31, 2014
- Accounts · 459 to 75Mar 29, 2012 to Apr 1, 2013
- Advisory employees · unset to 4.0Mar 29, 2012 to Apr 1, 2013
- BD registered reps · unset to 4.0Mar 29, 2012 to Apr 1, 2013
- Commission compensation · true to falseMar 29, 2012 to Apr 1, 2013
- Employees · unset to 4.0Mar 29, 2012 to Apr 1, 2013
- State-registered IARs · 0 to 4Mar 29, 2012 to Apr 1, 2013
- Discretionary RAUM · $41.4M to $30.6MMar 29, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $1.1M to $0Mar 29, 2012 to Apr 1, 2013
- RAUM · $42.5M to $30.6MMar 29, 2012 to Apr 1, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- D• P••••••• A•••• M••••••••• · Private Equityshared crd · intermediary
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