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• I••••••••• M••••••••• L••

Former SEC-registered adviserCRD 294021SEC 801-113382IAPD
Latest filing Mar 31, 2023
First filing on the tape May 4, 2018 · 12 filings
RAUM
$528M
reported, Item 5.F
Discretionary
0.0%
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$528M as of Mar 31, 2023
Mar 30, 2019$233M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 31, 2023
Mar 30, 20192 then
Employees (5.A)4 as of Mar 31, 2023
Mar 30, 20193 then
Private funds: no history
RAUM -38% over the last fiscal year-8.2% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$176MderivedRAUM 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
$528MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-38%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$528M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••••• R••••••• G••••• · Member & Ceocontrol
    since 02/2018 · owns less than 5%
  • D••••••• J••• P•••••• · Chief Compliance Officercontrol
    since 02/2018 · owns less than 5%
  • K•••••• M•••• B•••••• · Membercontrol
    since 02/2018 · owns less than 5%
  • L•••••• M••••••• J•••• · Membercontrol
    since 02/2018 · owns less than 5%
  • N••• T•••••• F•••••• · Membercontrol
    since 02/2018 · owns less than 5%
  • N•••••••• K••••• M•••••• · Membercontrol
    since 02/2018 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • BD registered reps · 1 to 2
    Nov 25, 2022 to Mar 31, 2023
  • Employees · 3 to 4
    Nov 25, 2022 to Mar 31, 2023
  • Insurance-licensed employees · 2 to 3
    Nov 25, 2022 to Mar 31, 2023
  • Financial planning clients · unset to 0
    Nov 25, 2022 to Mar 31, 2023
  • State-registered IARs · 2 to 3
    Nov 25, 2022 to Mar 31, 2023
  • Non-discretionary RAUM · $849M to $528M
    Nov 25, 2022 to Mar 31, 2023
  • RAUM · $849M to $528M
    Nov 25, 2022 to Mar 31, 2023
  • Non-discretionary RAUM · $687M to $849M
    Mar 31, 2021 to Mar 30, 2022
  • RAUM · $687M to $849M
    Mar 31, 2021 to Mar 30, 2022
  • Accounts · 2 to 1
    Mar 31, 2020 to Mar 31, 2021
  • BD registered reps · 2 to 1
    Mar 31, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $682M to $687M
    Mar 31, 2020 to Mar 31, 2021
  • RAUM · $682M to $687M
    Mar 31, 2020 to Mar 31, 2021
  • Accounts · 1 to 2
    Nov 6, 2019 to Mar 31, 2020
  • Non-discretionary RAUM · $233M to $682M
    Nov 6, 2019 to Mar 31, 2020
  • RAUM · $233M to $682M
    Nov 6, 2019 to Mar 31, 2020
  • Accounts · 1,105 to 1
    Oct 3, 2018 to Mar 30, 2019
  • Employees · 2 to 3
    Oct 3, 2018 to Mar 30, 2019
  • Insurance-licensed employees · 1 to 2
    Oct 3, 2018 to Mar 30, 2019
  • Discretionary RAUM · $389M to $0
    Oct 3, 2018 to Mar 30, 2019
  • Non-discretionary RAUM · $0 to $233M
    Oct 3, 2018 to Mar 30, 2019
  • RAUM · $389M to $233M
    Oct 3, 2018 to Mar 30, 2019
  • Wrap assets (manager) · 1.0 to unset
    Oct 3, 2018 to Mar 30, 2019
  • Wrap assets (sponsor) · 1.0 to unset
    Oct 3, 2018 to Mar 30, 2019
  • Accounts · 0 to 1,105
    Jun 19, 2018 to Oct 3, 2018
  • Discretionary RAUM · $0 to $389M
    Jun 19, 2018 to Oct 3, 2018
  • RAUM · $0 to $389M
    Jun 19, 2018 to Oct 3, 2018
Signals
8 dated events
  • J•• P•••••• D•••••• left F• I••••••••• M••••••••• L•• for G•••••••• F•••••••• A•••••••• L•• (registered 2023-07-11)
    May 19, 2023 · Advisor changed firm · fact
  • F• I••••••••• M••••••••• L•• reported RAUM $528.4M, down 38% from $849.4M (2022-11-25 to 2023-03-31)
    Mar 31, 2023 · RAUM change · derived
  • F• I••••••••• M••••••••• L•• reported RAUM $682.2M, up 193% from $233.0M (2019-11-06 to 2020-03-31)
    Mar 31, 2020 · RAUM change · derived
  • Ray Michael Childs (Member) no longer on Schedule A of F• I••••••••• M••••••••• L•• (listed 2019-05-08, absent 2019-11-06)
    Nov 6, 2019 · Control person left · inference
  • Harold Robert Dearman (Head Of Wealth Management) no longer on Schedule A of F• I••••••••• M••••••••• L•• (listed 2019-05-08, absent 2019-11-06)
    Nov 6, 2019 · Control person left · inference
  • F• I••••••••• M••••••••• L•• reported RAUM $233.0M, down 40% from $388.8M (2018-10-03 to 2019-03-30)
    Mar 30, 2019 · RAUM change · derived
  • Harold Robert Dearman (Head Of Wealth Management) appeared on Schedule A of F• I••••••••• M••••••••• L••
    Mar 30, 2019 · Control person joined · fact
  • F• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    May 4, 2018 · 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