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••• I••••••••• A•••••• S•••••••• I•••
Latest filing Oct 10, 2014
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$462M
reported, Item 5.F
Discretionary
17%
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
335
210 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$462M as of Mar 31, 2014
Mar 29, 2012$363M then
HNW client RAUM: no history
State-registered IARs (5.B.3)210 as of Mar 31, 2014
Mar 29, 20120 then
Employees (5.A)335 as of Mar 31, 2014
Mar 28, 2013355 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 210 to 210
Practice profile
derived from the filing of Oct 10, 2014; every figure names its basis
- RAUM per advisor
- $2.2MderivedRAUM 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
- $128,641derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 17%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 210.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
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
- 3,594reported
- Financial planning clients
- 51-100reported
- 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
- S••••• P•••• S••••••• to G••••• P•••••••• L••Jan 30, 2015 · Other
- J••• J••••• M••••••• to M••••••• I••••••••• A••••••• L••Jan 30, 2015 · Other
- S•••• D•••••• S•••••• to I•••••••• A•••••••• L••Dec 31, 2014 · Other
- S•••• M•••••• C••••••• to I••• R•••• C•••••• L••Dec 12, 2014 · Other
- M••••••• S•••••••• C•••••• to I••••••••• A••••••• S••••••• I••Dec 8, 2014 · Other
- M•••••• A•••••• E•••••••• to S•••••• W••••• P•••••••• L••Dec 8, 2014 · Other
- M••• E••••• A•••••• to A•••• P•••• A•••••••Jul 28, 2014 · Other
- D•••••• E• C••••••• to C••••••• A•••• M••••••••• L••Jul 9, 2014 · Other
- M••••• L•• H•••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jun 14, 2014 · Other
- T••••• R••••••• H••• to S•• A•••••••• I•••May 27, 2014 · Other
- J••• C••••••••• K•••••••• to P•••••• A•••••• G••••• L••May 27, 2014 · Other
- M••• R•••••• C•••• to C••••••• F•••••••• S••••••••• L••Mar 21, 2014 · Other
- S••••• H••• S•••• to C••••••• F•••••••• S••••••••• L••Mar 21, 2014 · Other
- W•••••• B••• H•••••• to C••••••• F•••••••• S••••••••• L••Mar 21, 2014 · Other
- E••••• E••••• W•••• to A••••••••• F•••••••• S•••••••• L••Mar 13, 2014 · Other
Joined, latest
- R•••••• L•••• T••••• from K••••••• C•••••• C•••••••••Jan 6, 2015 · Other
- S•••••• R••••• L•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 14, 2014 · Other
- M•••••• S••••• W••••• from N•• A•••••• S•••••••• L••Jan 24, 2014 · Other
- R••••• S• P••••• from S•••••••• I••••••••• N•••• I•••Oct 1, 2013 · Other
- D•••• A• F•••• from S•••••••• I••••••••• N•••• I•••Jul 1, 2013 · Other
- T••••• A••• E••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 19, 2013 · Other
- R••••• J•••• T••• from P••• A••••• S••••••••• L••Jun 7, 2013 · Other
- J••••• M•••••• C•••• from L•• F•••••••• L••May 31, 2013 · Other
- R••••• H••• L••• from N•• E•••••• S••••••••• C•••••••••Mar 1, 2013 · Other
- A••••• J••••• K••• from O••••••••• • C•• I•••Jan 28, 2013 · Other
- M••• E••• N••••• from O••••••••• S••••••••• I•••Jan 2, 2013 · Other
- S•••••• T••••• L••••••• from B••••••••• L••Jun 29, 2012 · Other
- J•••• L•• C•••• from S••Mar 13, 2012 · Other
- M•••••• J••••• C•••••• from C••••• A•••••• N••••••• L••Jan 3, 2012 · Other
- J•••••• S•••• H••••••• from V••• F•••••••• A•••••••• I•••Jan 3, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••••• D•••• M•••••• · Presidentcontrolsince 01/2003 · owns less than 5%
- P•••••••• W•••••• R•••••• · Chairman Emeritascontrolsince 01/2003 · owns less than 5%
- P•••••••• W•••••• R•••••• J• · Chief Compliance Officercontrolsince 01/1986 · owns less than 5%
Entity owners
- S••••• A••• F•••••••• S•••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•• F•••••••• S•••••••• I•••broker-dealercustodiann
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Related bank · false to trueMar 31, 2014 to Oct 10, 2014
- Related insurance company · true to falseMar 31, 2014 to Oct 10, 2014
- Succession · false to trueMar 31, 2014 to Oct 10, 2014
- Business name · W•• I••••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••Oct 10, 2014 to Oct 10, 2014
- Legal name · W•• I••••••••• I••• to S••••• A••• I••••••••• A•••••• S•••••••• I•••Oct 10, 2014 to Oct 10, 2014
- Succession · true to falseOct 10, 2014 to Oct 10, 2014
- Accounts · 3,570 to 3,594Mar 28, 2013 to Mar 31, 2014
- BD registered reps · 355 to 335Mar 28, 2013 to Mar 31, 2014
- Employees · 355 to 335Mar 28, 2013 to Mar 31, 2014
- Insurance-licensed employees · 25 to 16Mar 28, 2013 to Mar 31, 2014
- Financial planning clients · 101-250 to 51-100Mar 28, 2013 to Mar 31, 2014
- Discretionary RAUM · $61.7M to $77.2MMar 28, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $334M to $385MMar 28, 2013 to Mar 31, 2014
- RAUM · $396M to $462MMar 28, 2013 to Mar 31, 2014
- Accounts · 3,446 to 3,570Jan 17, 2013 to Mar 28, 2013
- Advisory employees · 220 to 210Jan 17, 2013 to Mar 28, 2013
- BD registered reps · 350 to 355Jan 17, 2013 to Mar 28, 2013
- Employees · 350 to 355Jan 17, 2013 to Mar 28, 2013
- Insurance-licensed employees · 30 to 25Jan 17, 2013 to Mar 28, 2013
- State-registered IARs · 220 to 210Jan 17, 2013 to Mar 28, 2013
- Discretionary RAUM · $42.5M to $61.7MJan 17, 2013 to Mar 28, 2013
- Non-discretionary RAUM · $321M to $334MJan 17, 2013 to Mar 28, 2013
- RAUM · $363M to $396MJan 17, 2013 to Mar 28, 2013
- Advisory employees · unset to 220.0Oct 3, 2012 to Jan 17, 2013
- BD registered reps · unset to 350.0Oct 3, 2012 to Jan 17, 2013
- Employees · unset to 350.0Oct 3, 2012 to Jan 17, 2013
- State-registered IARs · 0 to 220Oct 3, 2012 to Jan 17, 2013
Signals
1 dated events
- W•• I••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 10, 2014 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- W•• I••••••••• I••• · Private Equityshared crd · intermediary
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