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

H••••• W••••• M••••••••• I•••

Former SEC-registered adviserCRD 288925SEC 801-120843IAPD
Latest filing Mar 9, 2022
First filing on the tape Mar 18, 2021 · 2 filings
RAUM
$29.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$29.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$29.1M as of Mar 9, 2022
Mar 18, 2021$27.4M then
HNW client RAUM$8.6M as of Mar 9, 2022
Mar 18, 2021$5.2M then
State-registered IARs (5.B.3)1 as of Mar 9, 2022
Mar 18, 20211 then
Employees (5.A)1 as of Mar 9, 2022
Mar 18, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 9, 2022; every figure names its basis
RAUM per advisor
$29.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
82derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$139,149derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
1.0derived1 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 assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • Individuals$20.5M70%
  • High-net-worth individuals$8.6M30%
Individual clients
76reported
HNW clients
6reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
209reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
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
    • H•••••• P•••••• R•••••• · President & Chief Compliance Officercontrol
      since 03/2012 · owns 75% or more
    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 · 160 to 209
      Mar 18, 2021 to Mar 9, 2022
    • HNW clients · unset to 6.0
      Mar 18, 2021 to Mar 9, 2022
    • Individual clients · 107 to 76
      Mar 18, 2021 to Mar 9, 2022
    • Discretionary RAUM · $27.4M to $29.1M
      Mar 18, 2021 to Mar 9, 2022
    • HNW RAUM · $5.2M to $8.6M
      Mar 18, 2021 to Mar 9, 2022
    • Individual RAUM · $22.2M to $20.5M
      Mar 18, 2021 to Mar 9, 2022
    • RAUM · $27.4M to $29.1M
      Mar 18, 2021 to Mar 9, 2022
    Signals
    2 dated events
    • P••••• R•••••• H••••• left H••••• W••••• M••••••••• I••• for C••••••• P•••••••• I••• (registered 2022-11-17)
      Mar 21, 2023 · Advisor changed firm · fact
    • H••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Mar 18, 2021 · 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