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

N•••••• G•••• S••••••••• I•••

Former SEC-registered adviserLake Mary, FloridaCRD 29722SEC 801-60427IAPD
Latest filing Jun 13, 2023
First filing on the tape Mar 30, 2012 · 75 filings
RAUM
$23B
reported, Item 5.F
Discretionary
7.6%
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
38
38 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
75 filings and snapshots on the tape
RAUM$23B as of Mar 30, 2023
Mar 30, 2012$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)19 as of Mar 30, 2023
Apr 1, 201343 then
Employees (5.A)38 as of Mar 30, 2023
Apr 1, 201343 then
Private funds: no history
RAUM -21% over the last fiscal year-6.8% a year over threeIARs 40 to 19
Practice profile
derived from the filing of Jun 13, 2023; every figure names its basis
RAUM per advisor
$1.2BderivedRAUM 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
$306MderivedRAUM over accounts (5.F.2.f)
Discretionary
7.6%derivedof RAUM
Institutional
93%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
19.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%derivedbetween the last two annual amendments
Advisor growth, one year
-53%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 individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$21B100%
  • Charitable organizations$29.9M0.1%
  • State and municipal entities$24.2M0.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
67reported
Charitable clients
n/areported
Accounts
75reported
Financial planning clients
n/areported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F•••••• M•••••• R••••• · Treasurer And Vp Tax & Financecontrol
      since 05/2022 · owns less than 5%
    • K•••••• R••••• B•••• · Ccocontrol
      since 12/2022 · owns less than 5%
    • L•••••• K••• J•••• · President & Directorcontrol
      since 05/2017 · owns less than 5%
    • M••••• M•••••• E•••• · Vice President & Directorcontrol
      since 05/2017 · owns less than 5%
    • S••••••• M•••••• D•••••• · Vice Presidentcontrol
      since 07/2019 · owns less than 5%
    • S•••••••• T••••• J••• · Vice President/ Finopcontrol
      since 07/2019 · owns less than 5%
    Entity owners
    • N•••••• G•••• H••••••• I• I••• · Owner
      direct · owns 75% or more
    • A••••••• G••••• L•• · 100% Of I••••• A•••••••• I•••
      indirect · owns 75% or more of I••••• A•••••••• I•••
    • A••••••• H•••••••• I••• · 100% Shareholder Of A••••••• G••••• L••
      indirect · owns 75% or more of A••••••• Group LLC
    • I••••• A•••••••• I••• · 100% Of N•••••• G•••• H•••••••• L•••
      indirect · owns 75% or more of N•••••• G•••• H•••••••• L•••
    • M•••••• B•••••••• I••• · 100% Of A••••••• H•••••••• I•••
      indirect · owns 75% or more of A••••••• H•••••••• I•••
    • M•••••• I••••••••• I• I••• · 100% Of M•••••• I••••••••• II, Inc
      indirect · owns 75% or more of M•••••• I••••••••• I•• I•••
    • M•••••• I••••••••• I•• I••• · 100% Of M•••••• B•••••••• I•••
      indirect · owns 75% or more of M•••••• B•••••••• I•••
    • M•••••• P••••• H•••••••• I••• · 100% Of M•••••• I••••••••• I• I•••
      indirect · owns 75% or more of M•••••• I••••••••• I• I•••
    • N•••••• G•••• H••••••• G•• L•• · General Partner
      indirect · owns F of N•••••• G•••• H•••••••• L•••
    • N•••••• G•••• H••••••• I•• I••• · Owner
      indirect · owns 75% or more of N•••••• G•••• H••••••• I• I•••
    • N•••••• G•••• H•••••••• L••• · Owner
      indirect · owns 75% or more of N•••••• G•••• H••••••• I•• I•••
    • T•••••• V•••• L•• · 29.4% Of M•••••• P••••• H•••••••• I•••
      indirect · owns 25% to 50% of M•••••• P••••• H•••••••• I•••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 78 to 75
      Jan 9, 2023 to Mar 30, 2023
    • Advisory employees · 40 to 38
      Jan 9, 2023 to Mar 30, 2023
    • BD registered reps · 28 to 27
      Jan 9, 2023 to Mar 30, 2023
    • Pension plan clients · 71 to 67
      Jan 9, 2023 to Mar 30, 2023
    • Employees · 50 to 38
      Jan 9, 2023 to Mar 30, 2023
    • Insurance-licensed employees · 1 to 19
      Jan 9, 2023 to Mar 30, 2023
    • Financial planning clients · 0 to unset
      Jan 9, 2023 to Mar 30, 2023
    • State-registered IARs · 40 to 19
      Jan 9, 2023 to Mar 30, 2023
    • Discretionary RAUM · $1.8B to $1.7B
      Jan 9, 2023 to Mar 30, 2023
    • Non-discretionary RAUM · $27B to $21B
      Jan 9, 2023 to Mar 30, 2023
    • Pension RAUM · $27B to $21B
      Jan 9, 2023 to Mar 30, 2023
    • RAUM · $29B to $23B
      Jan 9, 2023 to Mar 30, 2023
    • Related broker-dealer · false to true
      Mar 31, 2022 to May 5, 2022
    • Accounts · 84 to 78
      Sep 8, 2021 to Mar 31, 2022
    • Advisory employees · 44 to 40
      Sep 8, 2021 to Mar 31, 2022
    • BD registered reps · 32 to 28
      Sep 8, 2021 to Mar 31, 2022
    • Pension plan clients · 76 to 71
      Sep 8, 2021 to Mar 31, 2022
    • Employees · 54 to 50
      Sep 8, 2021 to Mar 31, 2022
    • State-registered IARs · 44 to 40
      Sep 8, 2021 to Mar 31, 2022
    • Discretionary RAUM · $1.6B to $1.8B
      Sep 8, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $28B to $27B
      Sep 8, 2021 to Mar 31, 2022
    • Pension RAUM · $29B to $27B
      Sep 8, 2021 to Mar 31, 2022
    • RAUM · $29B to $29B
      Sep 8, 2021 to Mar 31, 2022
    • Accounts · 96 to 84
      Aug 2, 2020 to Mar 31, 2021
    • BD registered reps · 36 to 32
      Aug 2, 2020 to Mar 31, 2021
    • Pension plan clients · 87 to 76
      Aug 2, 2020 to Mar 31, 2021
    • State-registered IARs · 43 to 44
      Aug 2, 2020 to Mar 31, 2021
    • Discretionary RAUM · $1.5B to $1.6B
      Aug 2, 2020 to Mar 31, 2021
    • Non-discretionary RAUM · $27B to $28B
      Aug 2, 2020 to Mar 31, 2021
    • Pension RAUM · $28B to $29B
      Aug 2, 2020 to Mar 31, 2021
    • RAUM · $28B to $29B
      Aug 2, 2020 to Mar 31, 2021
    • Advisory employees · 22 to 44
      Mar 31, 2020 to Aug 2, 2020
    • BD registered reps · 22 to 36
      Mar 31, 2020 to Aug 2, 2020
    • Employees · 32 to 54
      Mar 31, 2020 to Aug 2, 2020
    • Insurance-licensed employees · 0 to 1
      Mar 31, 2020 to Aug 2, 2020
    • State-registered IARs · 21 to 43
      Mar 31, 2020 to Aug 2, 2020
    • Accounts · 129 to 96
      Feb 19, 2020 to Mar 31, 2020
    • Pension plan clients · 100 to 87
      Feb 19, 2020 to Mar 31, 2020
    • Discretionary RAUM · $1.4B to $1.5B
      Feb 19, 2020 to Mar 31, 2020
    • Non-discretionary RAUM · $25B to $27B
      Feb 19, 2020 to Mar 31, 2020
    Signals
    15 dated events
    • N•••••• G•••• S••••••••• I••• reported 19 state-registered advisory representatives, down from 40 (2023-01-09 to 2023-03-30)
      Mar 30, 2023 · Advisor headcount change · derived
    • Kieran Edward Brady (Treasurer) no longer on Schedule A of N•••••• G•••• S••••••••• I••• (listed 2022-12-20, absent 2023-01-09)
      Jan 9, 2023 · Control person left · inference
    • Michael Robert Folmer (Treasurer And Vp Tax & Finance) appeared on Schedule A of N•••••• G•••• S••••••••• I•••
      Jan 9, 2023 · Control person joined · fact
    • Robert Barry Kaplan (Cco) appeared on Schedule A of N•••••• G•••• S••••••••• I•••
      Jan 9, 2023 · Control person joined · fact
    • Alexa Danielle Gellinger (Cco) no longer on Schedule A of N•••••• G•••• S••••••••• I••• (listed 2021-04-13, absent 2021-09-08)
      Sep 8, 2021 · Control person left · inference
    • N•••••• G•••• S••••••••• I••• reported 43 state-registered advisory representatives, up from 21 (2020-03-31 to 2020-08-02)
      Aug 2, 2020 · Advisor headcount change · derived
    • Lynn M•••• Atkinson (Treasurer) no longer on Schedule A of N•••••• G•••• S••••••••• I••• (listed 2020-01-17, absent 2020-02-19)
      Feb 19, 2020 · Control person left · inference
    • Kieran Edward Brady (Treasurer) appeared on Schedule A of N•••••• G•••• S••••••••• I•••
      Feb 19, 2020 · Control person joined · fact
    • Gigi Klara Szekely (Chief Compliance Officer) no longer on Schedule A of N•••••• G•••• S••••••••• I••• (listed 2019-12-13, absent 2020-01-17)
      Jan 17, 2020 · Control person left · inference
    • Alexa Danielle Gellinger (Interim Cco) appeared on Schedule A of N•••••• G•••• S••••••••• I•••
      Jan 17, 2020 · Control person joined · fact
    • Lynn M•••• Atkinson (Treasurer) appeared on Schedule A of N•••••• G•••• S••••••••• I•••
      Sep 6, 2019 · Control person joined · fact
    • Michael Douglas Shannon (Vice President) appeared on Schedule A of N•••••• G•••• S••••••••• I•••
      Jul 23, 2019 · Control person joined · fact
    • Sean Noel Havlin (Financial Operations Principal & Treasurer) no longer on Schedule A of N•••••• G•••• S••••••••• I••• (listed 2019-06-03, absent 2019-07-23)
      Jul 23, 2019 · Control person left · inference
    • Teresa Jean Sherrard (Vice President/ Finop) appeared on Schedule A of N•••••• G•••• S••••••••• I•••
      Jul 23, 2019 · Control person joined · fact
    • N•••••• G•••• S••••••••• I••• reported 21 state-registered advisory representatives, up from 0 (2018-12-27 to 2019-03-29)
      Mar 29, 2019 · Advisor headcount change · derived
    Across DFX
    shared identifiers only, never a name match
    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