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

S•••••••• A•••• M••••••••• I•••

Former SEC-registered adviserHamburg, New YorkCRD 44379SEC 801-55180IAPD
Latest filing Apr 9, 2018
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$168M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$179M as of Mar 31, 2018
Mar 30, 2012$144M then
HNW client RAUM: $93.2M
State-registered IARs (5.B.3)4 as of Mar 31, 2018
Mar 6, 20132 then
Employees (5.A)13 as of Mar 31, 2018
Mar 6, 201312 then
Private funds: no history
RAUM +16% over the last fiscal year-4.1% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 9, 2018; every figure names its basis
RAUM per advisor
$44.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
176derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$680,366derivedHNW RAUM over HNW clients
Average account
$247,383derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.3derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+16%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, fixed fees, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Wrap fee program
$10.7MreportedItem 5.I
Custody
$162M, 689 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
  • is a broker-dealer (6.A.1)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$93.2M52%
  • Individuals$74.4M42%
  • Pension and profit-sharing plans$8.8M4.9%
  • Corporations and businesses$2.4M1.4%
  • Charitable organizations$37,6330.0%
Individual clients
566reported
HNW clients
137reported
Pension plan clients
9reported
Charitable clients
1reported
Accounts
723reported
Financial planning clients
n/areported
Wrap fee programs
$5.3M sponsored, $5.3M managedreported
Custody of client assets
$162M for 689 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H••••••••• D•••• C••••••••• · Vp Chief Compliance Officer, Financial Operations Principalcontrol
    since 08/1998 · owns less than 5%
  • S••••••••• K•••• L•••• · President, Rosfp, Operations & Registrationcontrol
    since 10/2006 · owns less than 5%
  • S••••••••• K•••• L•••• · General Partnercontrol
    since 02/1998 · owns F of S••••• B••••••• L•••
  • S••••••••• W•••••• B•••• · General Partnercontrol
    since 02/1998 · owns F of S••••• B••••••• L•••
Entity owners
  • S••••• B••••••• L••• · Sole Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Sarasota, FL1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Assets in custody · $141M to $162M
    Mar 31, 2017 to Mar 31, 2018
  • Employees · 11 to 13
    Mar 31, 2017 to Mar 31, 2018
  • Other offices · unset to 2.0
    Mar 31, 2017 to Mar 31, 2018
  • Discretionary RAUM · $155M to $179M
    Mar 31, 2017 to Mar 31, 2018
  • HNW RAUM · unset to 93210184.0
    Mar 31, 2017 to Mar 31, 2018
  • Individual RAUM · unset to 74359728.0
    Mar 31, 2017 to Mar 31, 2018
  • Pension RAUM · unset to 8822101.0
    Mar 31, 2017 to Mar 31, 2018
  • RAUM · $155M to $179M
    Mar 31, 2017 to Mar 31, 2018
  • Wrap assets (manager) · unset to 5330870.0
    Mar 31, 2017 to Mar 31, 2018
  • Wrap assets (sponsor) · unset to 5330870.0
    Mar 31, 2017 to Mar 31, 2018
  • Accounts · 580 to 723
    Mar 31, 2017 to Mar 31, 2018
  • Advisory employees · 8 to 7
    Mar 31, 2017 to Mar 31, 2018
  • BD registered reps · 9 to 11
    Mar 31, 2017 to Mar 31, 2018
  • Charity clients · unset to 1.0
    Mar 31, 2017 to Mar 31, 2018
  • Corporate clients · unset to 10.0
    Mar 31, 2017 to Mar 31, 2018
  • HNW clients · unset to 137.0
    Mar 31, 2017 to Mar 31, 2018
  • Individual clients · unset to 566.0
    Mar 31, 2017 to Mar 31, 2018
  • Pension plan clients · unset to 9.0
    Mar 31, 2017 to Mar 31, 2018
  • Accounts · 662 to 580
    Nov 21, 2016 to Mar 31, 2017
  • BD registered reps · 10 to 9
    Nov 21, 2016 to Mar 31, 2017
  • Assets in custody · $139M to $141M
    Nov 21, 2016 to Mar 31, 2017
  • Insurance-licensed employees · 2 to 1
    Nov 21, 2016 to Mar 31, 2017
  • Discretionary RAUM · $147M to $155M
    Nov 21, 2016 to Mar 31, 2017
  • Non-discretionary RAUM · $6.9M to $0
    Nov 21, 2016 to Mar 31, 2017
  • RAUM · $154M to $155M
    Nov 21, 2016 to Mar 31, 2017
  • Advisory employees · 9 to 8
    Sep 15, 2016 to Sep 15, 2016
  • BD registered reps · 11 to 10
    Sep 15, 2016 to Sep 15, 2016
  • Employees · 12 to 11
    Sep 15, 2016 to Sep 15, 2016
  • Accounts · 620 to 662
    Mar 31, 2015 to Mar 30, 2016
  • Assets in custody · $202M to $139M
    Mar 31, 2015 to Mar 30, 2016
  • Discretionary RAUM · $153M to $147M
    Mar 31, 2015 to Mar 30, 2016
  • Non-discretionary RAUM · $50.1M to $6.9M
    Mar 31, 2015 to Mar 30, 2016
  • RAUM · $203M to $154M
    Mar 31, 2015 to Mar 30, 2016
  • Related insurance company · false to true
    Mar 31, 2015 to Mar 30, 2016
  • Accounts · 652 to 620
    Mar 31, 2014 to Mar 31, 2015
  • Advisory employees · 8 to 9
    Mar 31, 2014 to Mar 31, 2015
  • Assets in custody · $176M to $202M
    Mar 31, 2014 to Mar 31, 2015
  • Discretionary RAUM · $146M to $153M
    Mar 31, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $46.1M to $50.1M
    Mar 31, 2014 to Mar 31, 2015
  • RAUM · $192M to $203M
    Mar 31, 2014 to Mar 31, 2015
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