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.

Former SEC-registered adviser

Source Capital Group, Inc.

Former SEC-registered adviserWestport, ConnecticutCRD 36719SEC 801-88199IAPD
Latest filing Jul 11, 2017
First filing on the tape Mar 31, 2015 · 12 filings
RAUM
$145M
reported, Item 5.F
Discretionary
75%
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
18
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$145M as of Jul 11, 2017
Mar 17, 2016$106M then
HNW client RAUM: no history
State-registered IARs (5.B.3)12 as of Jul 11, 2017
Mar 17, 201612 then
Employees (5.A)18 as of Jul 11, 2017
Mar 17, 201612 then
Private funds: no history
RAUM +37% over the last fiscal yearIARs 12 to 12
Practice profile
derived from the filing of Jul 11, 2017; every figure names its basis
RAUM per advisor
$12.1MderivedRAUM 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
$390,763derivedRAUM over accounts (5.F.2.f)
Discretionary
75%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
3.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+37%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 assets, hourly, commissions, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
371reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, commissionsreported
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
    • David Webster Harris · President / Chief Compliance Officer - Interimcontrol
      since 06/1994 · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list Source Capital Group, Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Morristown, NJ
    • West Hartford, CT
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 281 to 371
      Apr 5, 2017 to Jul 11, 2017
    • Advisory employees · 12 to 13
      Apr 5, 2017 to Jul 11, 2017
    • Advisory activities · 1 to 2
      Apr 5, 2017 to Jul 11, 2017
    • Employees · 12 to 18
      Apr 5, 2017 to Jul 11, 2017
    • Discretionary RAUM · $193,348 to $109M
      Apr 5, 2017 to Jul 11, 2017
    • Non-discretionary RAUM · $106M to $36.3M
      Apr 5, 2017 to Jul 11, 2017
    • RAUM · $106M to $145M
      Apr 5, 2017 to Jul 11, 2017
    • Accounts · 320 to 281
      Sep 3, 2015 to Mar 17, 2016
    • Advisory employees · 8 to 12
      Sep 3, 2015 to Mar 17, 2016
    • BD registered reps · 15 to 12
      Sep 3, 2015 to Mar 17, 2016
    • Commission compensation · false to true
      Sep 3, 2015 to Mar 17, 2016
    • Employees · 15 to 12
      Sep 3, 2015 to Mar 17, 2016
    • State-registered IARs · 8 to 12
      Sep 3, 2015 to Mar 17, 2016
    • Discretionary RAUM · $144M to $193,348
      Sep 3, 2015 to Mar 17, 2016
    • Non-discretionary RAUM · $3.4M to $106M
      Sep 3, 2015 to Mar 17, 2016
    • RAUM · $148M to $106M
      Sep 3, 2015 to Mar 17, 2016
    • Accounts · 290 to 320
      Mar 31, 2015 to Jun 8, 2015
    • Discretionary RAUM · $0 to $144M
      Mar 31, 2015 to Jun 8, 2015
    • Non-discretionary RAUM · $123M to $3.4M
      Mar 31, 2015 to Jun 8, 2015
    • RAUM · $123M to $148M
      Mar 31, 2015 to Jun 8, 2015
    • Related adviser · false to true
      Mar 31, 2015 to Jun 8, 2015
    Signals
    1 dated events
    • Source Capital Group, Inc. filed its initial SEC registration (Form ADV)
      Mar 31, 2015 · First SEC registration · fact
    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