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

Polar Investment Counsel, Inc.

Former SEC-registered adviserCRD 42847SEC 801-64516IAPD
Latest filing Mar 24, 2014
First filing on the tape Apr 20, 2012 · 6 filings
RAUM
$91.6M
reported, Item 5.F
Discretionary
14%
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
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$15.0M gross assets
History
6 filings and snapshots on the tape
RAUM$91.6M as of Sep 30, 2013
Aug 16, 2012$96.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Sep 30, 2013
Aug 16, 20120 then
Employees (5.A): 19
Private funds1 as of Sep 30, 2013
Aug 16, 20121 then
RAUM -4.8% over the last fiscal yearIARs 0 to 5
Practice profile
derived from the filing of Mar 24, 2014; every figure names its basis
RAUM per advisor
$18.3MderivedRAUM 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
$331,806derivedRAUM over accounts (5.F.2.f)
Discretionary
14%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.6derivedItem 5.A over advisors
Advisors per office
0.8derived6 offices incl. principal (1.F.5)
RAUM growth, one year
-4.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, educational seminarsreportedItem 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)
  • 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)
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
276reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    The Retzer FundHedge Fund$15.0M60Aug 16, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Sherry Lynn Abbott · Sr Vice President, Gp, Chief Compliance Officer, Cfocontrol
      since 05/2011 · owns less than 5%
    • Michael Charles Jordan · President, Gp, Finop, Options Principal, Municipal Principalcontrol
      since 05/1995 · owns less than 5%
    • Sherry Lynn Abbott · Shareholdercontrol
      since 07/2012 · owns 25% to 50% of Glacier Groups Inc
    • Michael Charles Jordan · Shareholdercontrol
      since 07/2012 · owns 25% to 50% of Glacier Groups Inc
    Entity owners
    • Glacier Groups Inc · Shareholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Burlington, CO
    • Carbondale, IL
    • Maumelle, AR
    • St Charles, IL
    • ,
    What changed
    consecutive filings, newest first
    • Advisory employees · 6 to 5
      Sep 30, 2013 to Mar 24, 2014
    • BD registered reps · 19 to 18
      Sep 30, 2013 to Mar 24, 2014
    • Employees · 19 to 18
      Sep 30, 2013 to Mar 24, 2014
    • Insurance-licensed employees · 7 to 6
      Sep 30, 2013 to Mar 24, 2014
    • State-registered IARs · 6 to 5
      Sep 30, 2013 to Mar 24, 2014
    • Accounts · 264 to 276
      Oct 15, 2012 to Sep 30, 2013
    • Advisory employees · unset to 6.0
      Oct 15, 2012 to Sep 30, 2013
    • BD registered reps · unset to 19.0
      Oct 15, 2012 to Sep 30, 2013
    • Employees · unset to 19.0
      Oct 15, 2012 to Sep 30, 2013
    • State-registered IARs · 0 to 6
      Oct 15, 2012 to Sep 30, 2013
    • Discretionary RAUM · $0 to $13.0M
      Oct 15, 2012 to Sep 30, 2013
    • Non-discretionary RAUM · $96.2M to $78.6M
      Oct 15, 2012 to Sep 30, 2013
    • RAUM · $96.2M to $91.6M
      Oct 15, 2012 to Sep 30, 2013
    • Accounts · 354 to 264
      Jul 20, 2012 to Aug 16, 2012
    • Private funds · unset to 1
      Jul 20, 2012 to Aug 16, 2012
    • Discretionary RAUM · $20.1M to $0
      Jul 20, 2012 to Aug 16, 2012
    • Non-discretionary RAUM · $81.4M to $96.2M
      Jul 20, 2012 to Aug 16, 2012
    • RAUM · $102M to $96.2M
      Jul 20, 2012 to Aug 16, 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