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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
I••••••••• P••••••••• I•••
Latest filing Sep 28, 2018
First filing on the tape Mar 16, 2012 · 19 filings
RAUM
$761M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
72%
$547M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
178
178 advisory (5.B.1)
Offices
172
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$761M as of Mar 31, 2018
Mar 16, 2012$249M then
HNW client RAUM: $24.7M
State-registered IARs (5.B.3)178 as of Mar 31, 2018
May 8, 2013226 then
Employees (5.A)178 as of Mar 31, 2018
May 8, 2013255 then
Private funds: no history
RAUM -11% over the last fiscal year+28% a year over threeIARs 222 to 178
Practice profile
derived from the filing of Sep 28, 2018; every figure names its basis
- RAUM per advisor
- $4.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $92,779derivedHNW RAUM over HNW clients
- Average account
- $161,609derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived173 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $196MreportedItem 5.I
- 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)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$522M87%
- Charitable organizations$28.6M4.8%
- High-net-worth individuals$24.7M4.1%
- Corporations and businesses$22.5M3.8%
- Pension and profit-sharing plans$2.5M0.4%
- Individual clients
- 3,645reported
- HNW clients
- 266reported
- Pension plan clients
- 14reported
- Charitable clients
- 24reported
- Accounts
- 4,708reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $196M sponsored, $232M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
Left, latest
- B•••• K•••• S•••••• to C••••• I••••••••• S••••••• L••Oct 8, 2018 · Other
- K••••••• S•• T•••••• to O•••• I••••••••• I•••Sep 13, 2018 · Affiliated broker-dealer or bank to another
- J•••• L••• W••••• to O•••• I••••••••• I•••Sep 13, 2018 · Affiliated broker-dealer or bank to another
- L••• J•••• G••••••• to O•••• I••••••••• I•••Aug 29, 2018 · Affiliated broker-dealer or bank to another
- R••••• T••••• M•••••• to L•• F•••••••• L••Aug 3, 2018 · Affiliated broker-dealer or bank to another
- K•••• B•••••• B••••• to L•• F•••••••• L••Aug 3, 2018 · Affiliated broker-dealer or bank to independent RIA
- D••••• D•••• T••••• to L•• F•••••••• L••Aug 3, 2018 · Affiliated broker-dealer or bank to another
- A••••• J••••• S•••• to L•• F•••••••• L••Aug 2, 2018 · Affiliated broker-dealer or bank to independent RIA
- B•••• J•••• S•••• to L•• F•••••••• L••Aug 2, 2018 · Affiliated broker-dealer or bank to independent RIA
- P••••• M••••• to C••••• I••••••••• A••••••• L••Aug 2, 2018 · Affiliated broker-dealer or bank to another
- J••••• D••••••• M••••• to C••••• I••••••••• A••••••• L••Aug 2, 2018 · Affiliated broker-dealer or bank to another
- R••• D••• B••• to O• I••••••••• M••••••••• C•Jul 31, 2018 · Affiliated broker-dealer or bank to another
- N••••••• J••••• D•••••••• to A••••••• F•••••••• A•••••••• L••Jul 11, 2018 · Affiliated broker-dealer or bank to another
- T•••••• K•••••• M••••• to L•• F•••••••• L••Jul 10, 2018 · Affiliated broker-dealer or bank to independent RIA
- S•••• K•••••• L•••••• to L•• F•••••••• L••Jul 10, 2018 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- J••••• P•••••• Q•••••• from L•• F•••••••• L••Aug 14, 2018 · RIA to affiliated broker-dealer or bank
- R••••• H•••••••• A•••••• from M•• I•••••••• S•••••••• L••Jul 16, 2018 · Affiliated broker-dealer or bank to another
- T••••• A•• M•••• from L•• F•••••••• L••May 4, 2018 · RIA to affiliated broker-dealer or bank
- J•••• T••••• from C•••••• T•••• B•••Mar 29, 2018 · Other
- G••••• S••••• R••• from A••••••• A•••• M••••••••• I•••Jan 3, 2018 · Other
- S••••• C• B•••• from L•• F•••••••• L••Dec 7, 2017 · Other
- P•••••• B•••• M••••• from L•• F•••••••• L••Jul 21, 2017 · Other
- K•••• A••••• C••••• from E•• C•••••• M••••••••• L••Jun 9, 2017 · Other
- P••• E• G••• from M•• I•••••••• S•••••••• L••Apr 21, 2017 · Other
- M••• S•••••• M•••• from F•••• T•••• S••••••••• I•••Apr 7, 2017 · Other
- F•••••••• J•••• G••••• from W•••• F•••• A•••••••Mar 6, 2017 · Other
- M••••• J• P••••• from E••••• J••••Feb 6, 2017 · Other
- G•••••• W••• G••••• from F•••• B•••••••• A••••••• L•••••Feb 3, 2017 · Other
- R••••• P• C•••••• from L•• F•••••••• L••Jan 19, 2017 · Other
- E••• S•••• P•••••••• from O••••••••• • C•• I•••Dec 9, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O•••• I••••••••• I•••Sep 13, 2018 · Downers Grove, Il
- 3 left for L•• F•••••••• L••Aug 3, 2018 · San Antonio, Tx
- 2 left for L•• F•••••••• L••Aug 2, 2018 · Danville, Ky
- 2 left for L•• F•••••••• L••Jul 10, 2018 · Downers Grove, Il
- 2 left for L•• F•••••••• L••Nov 3, 2017 · Reston, Va
- 3 left for T••••••• A•••• M••••••••• L••Jul 25, 2017 · Webster, Tx
- 4 left for S••• V•••• P•••••••• L•••Jul 3, 2017 · Englewood, Co
- 2 left for S••• V•••• P•••••••• L•••Jul 3, 2017 · San Antonio, Tx
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 23, 2015 · Wenatchee, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• C•••••• N••• · Directorcontrolsince 11/2017 · owns less than 5%
- M•••••••• J•• L•••• · Pres/Ceocontrolsince 08/2010 · owns less than 5%
- O••••••••• P•••••• H••• · Directorcontrolsince 11/2017 · owns less than 5%
- D••••••• R•••••• R•••• · Registered Options Principalsince 03/2016 · owns less than 5%
- S•••••• M••• E•••• · Co-Ccosince 01/2018 · owns less than 5%
- S••••••• B•••• K•••• · Cco And Coosince 04/2016 · owns less than 5%
Entity owners
- A••• H•••••• C••••••••• · Shareholderdirect · owns 75% or more
- A••••••••• F••••••••• I••• · 100% Owner Of Parent Companyindirect · owns 75% or more of A••• H•••••• C••••••••• · public reporting company
Related persons
Schedule D 7.A
- A••••••• C•••••• S••••••••• G••••• I•••bankpooled vehicle sponsorn
- A••••••• E••••••••• I••••••••• S••••••• I•••broker-dealern
- A••••••••• A••• • H••• I•••••••• A•••••• I•••real estaten
- A••••••••• C•••••• I•••••••• C••••••real estaten
- A••••••••• Financial Services, LLCbroker-dealerinvestment adviserbanknRAUM $660B
- A••••••••• I•••••••• C••••••real estaten
- A••••••••• N••••••• T•••• B•••n
- A••••••••• T•••• C••••••bankn
- C••••••• M••••••••• I••••••••• A•••••••• L••investment adviserbanknRAUM $502B
- C••••••• M••••••••• I••••••••• D••••••••• I•••broker-dealern
- C••••••• T••••••••• I••••••••• ••• L••••••investment advisern
- C••••••• W••••• A•••• M••••••••• L••investment advisernRAUM $5.8B
- I•• P••••••• C••••••• C••••••real estaten
- R••••••••• D••••••••• I•••broker-dealern
- R••••••••• L••• I•••••••• C•• O• N•• Y•••real estaten
- R••••••••• L••• I•••••••• C••••••real estaten
- S••••••• P••••••• L••bankpooled vehicle sponsorn
- T••••••••• A•••• M••••••••• M••••••• S••• B•••investment advisern
- T••••••••• A••••• M••••••••• L••••••investment advisern
- T••••••••• I••••••••• I••••••••• G•••pooled vehicle sponsorn
- C••••••• T••••••••• I•••••••••investment adviserbanknRAUM $358M
- T••••••••• I••••••••• S•••••••• •••• L••••••investment advisern
- T••••••••• M••••••••• L••••••••• S•••investment adviserpooled vehicle sponsorn
- T••••••••• P•••••••• S••••••• H••• K••• L••••••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5,581 to 4,708Aug 3, 2017 to Mar 31, 2018
- Charity clients · unset to 24.0Aug 3, 2017 to Mar 31, 2018
- Corporate clients · unset to 33.0Aug 3, 2017 to Mar 31, 2018
- HNW clients · unset to 266.0Aug 3, 2017 to Mar 31, 2018
- Individual clients · unset to 3645.0Aug 3, 2017 to Mar 31, 2018
- Pension plan clients · unset to 14.0Aug 3, 2017 to Mar 31, 2018
- Pooled vehicle clients · unset to 0.0Aug 3, 2017 to Mar 31, 2018
- Other offices · unset to 172.0Aug 3, 2017 to Mar 31, 2018
- HNW RAUM · unset to 24679149.0Aug 3, 2017 to Mar 31, 2018
- Individual RAUM · unset to 521932503.0Aug 3, 2017 to Mar 31, 2018
- Non-discretionary RAUM · $622M to $761MAug 3, 2017 to Mar 31, 2018
- Pension RAUM · unset to 2485657.0Aug 3, 2017 to Mar 31, 2018
- Pooled vehicle RAUM · unset to 0.0Aug 3, 2017 to Mar 31, 2018
- RAUM · $622M to $761MAug 3, 2017 to Mar 31, 2018
- Wrap assets (manager) · unset to 231890939.0Aug 3, 2017 to Mar 31, 2018
- Wrap assets (sponsor) · unset to 196277547.0Aug 3, 2017 to Mar 31, 2018
- Advisory employees · 216 to 178Mar 31, 2018 to Mar 31, 2018
- BD registered reps · 216 to 178Mar 31, 2018 to Mar 31, 2018
- Employees · 216 to 178Mar 31, 2018 to Mar 31, 2018
- Insurance-licensed employees · 8 to 0Mar 31, 2018 to Mar 31, 2018
- State-registered IARs · 216 to 178Mar 31, 2018 to Mar 31, 2018
- Related adviser · false to trueJul 3, 2017 to Aug 3, 2017
- Related bank · false to trueJul 3, 2017 to Aug 3, 2017
- Accounts · 5,601 to 5,581Jun 26, 2017 to Jul 3, 2017
- Advisory employees · 222 to 216Jun 26, 2017 to Jul 3, 2017
- Advisory activities · 5 to 4Jun 26, 2017 to Jul 3, 2017
- BD registered reps · 222 to 216Jun 26, 2017 to Jul 3, 2017
- Assets in custody · 234012178.0 to unsetJun 26, 2017 to Jul 3, 2017
- Custody of client assets · true to falseJun 26, 2017 to Jul 3, 2017
- Employees · 222 to 216Jun 26, 2017 to Jul 3, 2017
- Insurance-licensed employees · 9 to 8Jun 26, 2017 to Jul 3, 2017
- State-registered IARs · 222 to 216Jun 26, 2017 to Jul 3, 2017
- Discretionary RAUM · $234M to $0Jun 26, 2017 to Jul 3, 2017
- RAUM · $856M to $622MJun 26, 2017 to Jul 3, 2017
- Related adviser · true to falseJun 26, 2017 to Jul 3, 2017
- Accounts · 2,677 to 5,601Mar 1, 2017 to Mar 30, 2017
- Advisory employees · 242 to 222Mar 1, 2017 to Mar 30, 2017
- BD registered reps · 240 to 222Mar 1, 2017 to Mar 30, 2017
- Assets in custody · $165M to $234MMar 1, 2017 to Mar 30, 2017
- Employees · 242 to 222Mar 1, 2017 to Mar 30, 2017
Signals
No event on the tape.
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