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

B••••• • Y•••• A•••••••• I•••

Former SEC-registered adviserFolsom, CaliforniaCRD 40395SEC 801-51940IAPD
Latest filing May 1, 2012
First filing on the tape Dec 2, 2011 · 8 filings
RAUM
$180M
reported, Item 5.F
Discretionary
100%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$180M as of May 1, 2012
Dec 2, 2011$218M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 1, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$169,572derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, otherreportedItem 5.G
Custody
$180M, 1,060 clientsreportedItem 9.A
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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
1,060reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$180M for 1,060 clientsreported
Compensation
% of AUMreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••••• P•••••• S•••••••• · Directorcontrol
    since 11/2011 · owns less than 5%
  • G••••••••• J••••• · Directorcontrol
    since 11/2011 · owns less than 5%
  • H•••••• J•••• M•••••• · Senior Vp, Sales Supervision And Operationscontrol
    since 03/2010 · owns less than 5%
  • H•••••• K•••• J•••• · Directorcontrol
    since 03/2011 · owns less than 5%
  • K••••••• B••••• H• · Directorcontrol
    since 11/2011 · owns less than 5%
  • K•••• D•••••• M•••••• · Sr. Vp, Business Developmentcontrol
    since 01/2011 · owns less than 5%
  • M••••••• A•••• S•••• · Directorcontrol
    since 11/2011 · owns less than 5%
  • M•••••• K••••• J••••• · Senior Vp, Chief Compliance Officer And G•••••• Counsel (Aml Officer, Itpp Officer, Privacy Officer), Corporate Secretarycontrol
    since 05/2009 · owns less than 5%
  • N••••••••• J••••• D••••• · Ceo, Directorcontrol
    since 07/2010 · owns less than 5%
  • P••••••• G••••• E•••••••• · Vice President, Treasurer & Accountingcontrol
    since 03/2009 · owns less than 5%
  • W•••••••• P••••• J••••• · Directorcontrol
    since 10/2008 · owns less than 5%
Entity owners
  • S••••••••• A•••••• F•••••••• C••••••••• · Holding Company
    direct · owns 75% or more
  • L•••••••• T••••••• F•••••••• S•••••••• I••• · 100% Owner Of Parent Company
    indirect · owns 75% or more of S••••••••• A•••••• F•••••••• C•••••••••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Cincinnati, OH
What changed
consecutive filings, newest first
  • Accounts · 1,242 to 1,060
    Jan 27, 2012 to Mar 30, 2012
  • Assets in custody · $218M to $180M
    Jan 27, 2012 to Mar 30, 2012
  • Discretionary RAUM · $218M to $180M
    Jan 27, 2012 to Mar 30, 2012
  • RAUM · $218M to $180M
    Jan 27, 2012 to Mar 30, 2012
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