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.
SEC-registered adviser
Parvin Fund Management
Asset manager (funds and pooled vehicles)Sioux Falls, South DakotaCRD 311304SEC 801-119820websiteIAPD
Legal name Parvin Fund Management, LLC
Latest filing Mar 31, 2026
First filing on the tape Oct 18, 2020 · 9 filings
SEC status approved since Nov 17, 2020
RAUM
$10.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$5.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$10.1M as of Mar 31, 2026
Feb 18, 2021$10,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Feb 18, 20211 then
Employees (5.A)2 as of Mar 31, 2026
Feb 18, 20211 then
Private funds: no history
RAUM +73% over the last fiscal year+30% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $5.1MderivedRAUM 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
- $10.1MderivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +73%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- 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
- Investment companies$10.1M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Steven Smith | Sioux Falls, Sd | Sep 21, 2021 | 34 y | 2 |
| Todd Harold Keating | Phoenixville, Pa | Nov 22, 2022 | 33 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Todd Harold Keating from Nuveen Fund Advisors, LLCNov 22, 2022 · Other
- James Steven Smith from Parvin Asset ManagementSep 21, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Steven James Smith · Managing Director, Portfolio Managercontrolsince 09/2020 · owns 75% or more
- Harold Todd Keating · Managing Director, Chief Compliance Officersince 03/2023 · owns less than 5%
Related persons
Schedule D 7.A
- Parvin Asset Management, LLCinvestment advisernRAUM $179M
Advisers that list Parvin Fund Management as a related person
- 315701 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $5.9M to $10.1MMar 30, 2025 to Mar 31, 2026
- RAUM · $5.9M to $10.1MMar 30, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 30, 2025
- Discretionary RAUM · $5.7M to $5.9MMar 27, 2024 to Mar 30, 2025
- RAUM · $5.7M to $5.9MMar 27, 2024 to Mar 30, 2025
- Discretionary RAUM · $4.6M to $5.7MMar 29, 2023 to Mar 27, 2024
- RAUM · $4.6M to $5.7MMar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.2M to $4.6MJul 27, 2022 to Mar 29, 2023
- RAUM · $2.2M to $4.6MJul 27, 2022 to Mar 29, 2023
- Advisory employees · 1 to 2Mar 30, 2022 to Jul 27, 2022
- Employees · 1 to 2Mar 30, 2022 to Jul 27, 2022
- Insurance-licensed employees · 0 to 2Mar 30, 2022 to Jul 27, 2022
- State-registered IARs · 1 to 2Mar 30, 2022 to Jul 27, 2022
- Discretionary RAUM · $10,000 to $2.2MOct 10, 2021 to Mar 30, 2022
- RAUM · $10,000 to $2.2MOct 10, 2021 to Mar 30, 2022
- Accounts · 0 to 1Oct 18, 2020 to Feb 18, 2021
- Discretionary RAUM · $0 to $10,000Oct 18, 2020 to Feb 18, 2021
- RAUM · $0 to $10,000Oct 18, 2020 to Feb 18, 2021
Signals
1 dated events
- Parvin Fund Management filed its initial SEC registration (Form ADV)Oct 18, 2020 · 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.
How to reach
public business contact points only, each with its source
- Website
- parvinfunds.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 610-806-9001reportedpublic record, Form ADV, Mar 31, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026