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

Avondale Partners, LLC

Former SEC-registered adviserNashville, TennesseeCRD 46838SEC 801-70070IAPD
Latest filing Oct 2, 2018
First filing on the tape Mar 6, 2012 · 20 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
0.0%
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
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.5B as of Oct 2, 2018
Sep 28, 2012$677M then
HNW client RAUM: $0
State-registered IARs (5.B.3)3 as of Oct 2, 2018
Sep 28, 20120 then
Employees (5.A)3 as of Oct 2, 2018
Sep 30, 20138 then
Private funds: no history
RAUM -18% over the last fiscal year-2.1% a year over threeIARs 14 to 3
Practice profile
derived from the filing of Oct 2, 2018; every figure names its basis
RAUM per advisor
$500MderivedRAUM 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
$187MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
97%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-18%derivedbetween the last two annual amendments
Advisor growth, one year
-79%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$1.5B97%
  • Corporations and businesses$38.5M2.6%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
4reported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    • Philip Donald Krebs · Sr. Managing Partnercontrol
      since 09/2001 · owns less than 5%
    • Stephen Samuel Riven · Sr. Managing Partnercontrol
      since 09/2001 · owns less than 5%
    • Robert Patrick Shepherd · Ceo / Ccocontrol
      since 09/2001 · owns less than 5%
    • Joel Darren Oertling · Cfo, Finop, Director Of Finance
      since 10/2006 · owns less than 5%
    Entity owners
    • Avondale Group LLC · Voting Member
      direct · owns 75% or more
    • Avondale Equity Partners, LLC · Voting Member
      indirect · owns 25% to 50% of Avondale Group, LLC
    Related persons
    Schedule D 7.A
    Advisers that list Avondale Partners, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • San Francisco, CA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 322 to 8
      May 11, 2018 to Oct 2, 2018
    • Advisory employees · 11 to 3
      May 11, 2018 to Oct 2, 2018
    • Advisory activities · 5 to 2
      May 11, 2018 to Oct 2, 2018
    • BD registered reps · 12 to 3
      May 11, 2018 to Oct 2, 2018
    • Corporate clients · unset to 1.0
      May 11, 2018 to Oct 2, 2018
    • HNW clients · 15 to 0
      May 11, 2018 to Oct 2, 2018
    • Individual clients · 110 to 0
      May 11, 2018 to Oct 2, 2018
    • Pension plan clients · 26 to 4
      May 11, 2018 to Oct 2, 2018
    • Employees · 12 to 3
      May 11, 2018 to Oct 2, 2018
    • Insurance-licensed employees · 11 to 3
      May 11, 2018 to Oct 2, 2018
    • State-registered IARs · 11 to 3
      May 11, 2018 to Oct 2, 2018
    • Discretionary RAUM · $126M to $0
      May 11, 2018 to Oct 2, 2018
    • HNW RAUM · $59.1M to $0
      May 11, 2018 to Oct 2, 2018
    • Individual RAUM · $70.8M to $0
      May 11, 2018 to Oct 2, 2018
    • Non-discretionary RAUM · $1.8B to $1.5B
      May 11, 2018 to Oct 2, 2018
    • Pension RAUM · $1.8B to $1.5B
      May 11, 2018 to Oct 2, 2018
    • RAUM · $1.9B to $1.5B
      May 11, 2018 to Oct 2, 2018
    • Wrap assets (manager) · 0.0 to unset
      May 11, 2018 to Oct 2, 2018
    • Wrap assets (sponsor) · 0.0 to unset
      May 11, 2018 to Oct 2, 2018
    • Accounts · 326 to 322
      Sep 29, 2017 to May 11, 2018
    • BD registered reps · 17 to 12
      Sep 29, 2017 to May 11, 2018
    • HNW clients · unset to 15.0
      Sep 29, 2017 to May 11, 2018
    • Individual clients · unset to 110.0
      Sep 29, 2017 to May 11, 2018
    • Pension plan clients · unset to 26.0
      Sep 29, 2017 to May 11, 2018
    • Employees · 17 to 12
      Sep 29, 2017 to May 11, 2018
    • Insurance-licensed employees · 6 to 11
      Sep 29, 2017 to May 11, 2018
    • State-registered IARs · 14 to 11
      Sep 29, 2017 to May 11, 2018
    • Other offices · unset to 3.0
      Sep 29, 2017 to May 11, 2018
    • Discretionary RAUM · $132M to $126M
      Sep 29, 2017 to May 11, 2018
    • HNW RAUM · unset to 59095246.0
      Sep 29, 2017 to May 11, 2018
    • Individual RAUM · unset to 70765621.0
      Sep 29, 2017 to May 11, 2018
    • Non-discretionary RAUM · $1.7B to $1.8B
      Sep 29, 2017 to May 11, 2018
    • Pension RAUM · unset to 1761867601.0
      Sep 29, 2017 to May 11, 2018
    • RAUM · $1.8B to $1.9B
      Sep 29, 2017 to May 11, 2018
    • Wrap assets (manager) · unset to 0.0
      Sep 29, 2017 to May 11, 2018
    • Wrap assets (sponsor) · unset to 0.0
      Sep 29, 2017 to May 11, 2018
    • Accounts · 266 to 326
      May 4, 2017 to Sep 29, 2017
    • Advisory employees · 8 to 11
      May 4, 2017 to Sep 29, 2017
    • BD registered reps · 11 to 17
      May 4, 2017 to Sep 29, 2017
    • Employees · 11 to 17
      May 4, 2017 to Sep 29, 2017
    Signals
    No event on the tape.
    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