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

P••••••••• I••••••••• M••••••••• L•••

Former SEC-registered adviserSt Thomas, VICRD 269946SEC 801-106662IAPD
Latest filing Mar 29, 2018
First filing on the tape Sep 9, 2015 · 5 filings
RAUM
$70.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$52.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$70.5M as of Mar 29, 2018
Mar 30, 2016$145M then
HNW client RAUM: $52.0M
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 30, 20160 then
Employees (5.A)4 as of Mar 29, 2018
Mar 30, 20165 then
Private funds: no history
RAUM -47% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$4.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-47%derivedbetween 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 individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$52.0M74%
  • Insurance companies$18.5M26%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
1-10reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M••••••• V••••• · President And Chief Compliance Officercontrol
        since 12/2014 · owns 10% to 25%
      • S••••••• D•••• F•••••• · Chief Executive Officercontrol
        since 12/2014 · owns 25% to 50%
      Entity owners
      • D••• F• S•••••• I••••••••• T•••• U•••• 1••••••••• C••••• K• H•••••• T•••••• · T••••••
        direct · owns 25% to 50%
      • M•••••• V• B••••• F••••• T•••• U•••• 4••••••••• M•••••• V• B••••• T•••••• · T••••••
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • S••••••• G••••••• I•••••••• C•••••••••
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 16
        Oct 26, 2017 to Mar 29, 2018
      • Discretionary RAUM · $133M to $70.5M
        Oct 26, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 52000000.0
        Oct 26, 2017 to Mar 29, 2018
      • RAUM · $133M to $70.5M
        Oct 26, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Oct 26, 2017
      • Accounts · 10 to 12
        Mar 30, 2016 to Mar 29, 2017
      • Advisory employees · 3 to 2
        Mar 30, 2016 to Mar 29, 2017
      • Employees · 5 to 4
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $145M to $133M
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $145M to $133M
        Mar 30, 2016 to Mar 29, 2017
      • Accounts · 6 to 10
        Sep 9, 2015 to Mar 30, 2016
      • Discretionary RAUM · $150M to $145M
        Sep 9, 2015 to Mar 30, 2016
      • RAUM · $150M to $145M
        Sep 9, 2015 to Mar 30, 2016
      Signals
      1 dated events
      • P••••••••• I••••••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Sep 9, 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