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

D••• F•••••••• I••••••••• A•••••••• L••

Former SEC-registered adviserMitchell, South DakotaCRD 304424SEC 801-117441IAPD
Latest filing Apr 14, 2021
First filing on the tape Sep 5, 2019 · 5 filings
RAUM
$141M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
39%
$55.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$141M as of Feb 18, 2021
Mar 12, 2020$124M then
HNW client RAUM$44.7M as of Feb 18, 2021
Mar 12, 2020$36.2M then
State-registered IARs (5.B.3)5 as of Feb 18, 2021
Mar 12, 20205 then
Employees (5.A)5 as of Feb 18, 2021
Mar 12, 20205 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Apr 14, 2021; every figure names its basis
RAUM per advisor
$28.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
9derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
61%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-14%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$85.9M61%
  • High-net-worth individuals$44.7M32%
  • Individuals$10.6M7.5%
Individual clients
26reported
HNW clients
17reported
Pension plan clients
7reported
Charitable clients
n/areported
Accounts
86reported
Financial planning clients
0reported
Wrap fee programs
noreported
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
Joined, latest
none on the tape
    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
    • D•••• T•••••• J••• · Chief Compliance Officer/ Board Membercontrol
      since 02/2020 · owns less than 5%
    • J••••••• J••••••••• D••• · Partnercontrol
      since 02/2020 · owns 50% to 75%
    • L•••••• M••••••• L••••••• · Partnercontrol
      since 02/2020 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • D••• F•••••••• S•••••• G••••
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Insurance-licensed employees · 0 to 5
      Feb 18, 2021 to Apr 14, 2021
    • Accounts · 92 to 86
      Jun 17, 2020 to Feb 18, 2021
    • HNW clients · 16 to 17
      Jun 17, 2020 to Feb 18, 2021
    • Individual clients · 34 to 26
      Jun 17, 2020 to Feb 18, 2021
    • HNW RAUM · $36.2M to $44.7M
      Jun 17, 2020 to Feb 18, 2021
    • Individual RAUM · $12.2M to $10.6M
      Jun 17, 2020 to Feb 18, 2021
    • Non-discretionary RAUM · $124M to $141M
      Jun 17, 2020 to Feb 18, 2021
    • Pension RAUM · $76.1M to $85.9M
      Jun 17, 2020 to Feb 18, 2021
    • RAUM · $124M to $141M
      Jun 17, 2020 to Feb 18, 2021
    • Accounts · 95 to 92
      Sep 5, 2019 to Mar 12, 2020
    • Advisory employees · 4 to 5
      Sep 5, 2019 to Mar 12, 2020
    • Advisory activities · 3 to 4
      Sep 5, 2019 to Mar 12, 2020
    • BD registered reps · 4 to 5
      Sep 5, 2019 to Mar 12, 2020
    • HNW clients · 19 to 16
      Sep 5, 2019 to Mar 12, 2020
    • Individual clients · 36 to 34
      Sep 5, 2019 to Mar 12, 2020
    • Pension plan clients · 8 to 7
      Sep 5, 2019 to Mar 12, 2020
    • Commission compensation · true to false
      Sep 5, 2019 to Mar 12, 2020
    • Employees · 4 to 5
      Sep 5, 2019 to Mar 12, 2020
    • Insurance-licensed employees · 1 to 0
      Sep 5, 2019 to Mar 12, 2020
    • State-registered IARs · 4 to 5
      Sep 5, 2019 to Mar 12, 2020
    • HNW RAUM · $31.2M to $36.2M
      Sep 5, 2019 to Mar 12, 2020
    • Individual RAUM · $13.4M to $12.2M
      Sep 5, 2019 to Mar 12, 2020
    • Non-discretionary RAUM · $129M to $124M
      Sep 5, 2019 to Mar 12, 2020
    • Pension RAUM · $83.9M to $76.1M
      Sep 5, 2019 to Mar 12, 2020
    • RAUM · $129M to $124M
      Sep 5, 2019 to Mar 12, 2020
    • Succession · true to false
      Sep 5, 2019 to Mar 12, 2020
    Signals
    4 dated events
    • Lawrence Michael Lebrun (Partner) appeared on Schedule A of D••• F•••••••• I••••••••• A•••••••• L••
      Mar 12, 2020 · Control person joined · fact
    • Dice Jacquelyn Johnson (Partner) appeared on Schedule A of D••• F•••••••• I••••••••• A•••••••• L••
      Mar 12, 2020 · Control person joined · fact
    • D••• F•••••••• I••••••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Sep 5, 2019 · Succession (Item 4) · fact
    • D••• F•••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Sep 5, 2019 · 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