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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SEC-registered adviser
I•••••••• D•• F•••• M•••••• S•
Latest filing Mar 23, 2026
First filing on the tape Mar 9, 2012 · 18 filings
SEC status approved since May 27, 1981
RAUM
$334M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$334M as of Mar 23, 2026
Mar 9, 2012$319M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 9, 20120 then
Employees (5.A)5 as of Mar 23, 2026
Feb 19, 20136 then
Private funds: no history
RAUM +35% over the last fiscal year+7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2026; 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
- $334MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$334M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• E•••••• R•••• E••••• · Trusteecontrolsince 04/2013 · owns less than 5%
- C••••• G•••••••• M••••• M•••••••• · Trusteecontrolsince 04/2013 · owns less than 5%
- D•••• D••••• T••• · Trusteecontrolsince 02/2015 · owns less than 5%
- D•••••• C••••••••• V•••••• E•••••• · Trusteecontrolsince 11/1999 · owns less than 5%
- O••••• M••••••• A•••••• · President And Chief Executive Officercontrolsince 04/2014 · owns 50% to 75%
- O••••• M••••••• E•••• · Trusteecontrolsince 03/2016 · owns less than 5%
- C••••••• E•••••• R•••• E••••• · Trusteecontrolsince 04/2013 · owns F of E••••••• T•••• W••• B••• B••••••• F••••••••
- C••••• G•••••••• M••••• M•••••••• · Trusteecontrolsince 04/2013 · owns F of E••••••• T•••• W••• B••• B••••••• F••••••••
- D•••• D••••• T••• · Trusteecontrolsince 02/2015 · owns F of E••••••• T•••• W••• B••• B••••••• F••••••••
- D•••••• C••••••••• V•••••• E•••••• · Trusteecontrolsince 11/1999 · owns F of E••••••• T•••• W••• B••• B••••••• F••••••••
- O••••• M••••••• A•••••• · Sole Shareholdercontrolsince 03/2015 · owns 75% or more of I•• A••••••• E• A••••••••• S• D• R••• D• C•••
- O••••• M••••••• A•••••• · Trusteecontrolsince 05/1992 · owns F of E••••••• T•••• W••• B••• B••••••• F••••••••
- O••••• M••••••• E•••• · Trusteecontrolsince 03/2016 · owns F of E••••••• T•••• W••• B••• B••••••• F••••••••
- A•••••••• J••••• F••••••• · Chief Compliance Officersince 05/2015 · owns less than 5%
Entity owners
- E••••••• T•••• W••• B••• B••••••• F•••••••• · Trustdirect · owns 10% to 25%
- I•• A••••••• E• A••••••••• S• D• R••• D• C••• · General Partnerdirect · owns 5% to 10%
- E••••••• T•••• W••• B••• B••••••• F•••••••• · Trustindirect · owns F of E••••••• T•••• W••• B••• B••••••• F••••••••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $247M to $334MMar 18, 2025 to Mar 23, 2026
- RAUM · $247M to $334MMar 18, 2025 to Mar 23, 2026
- Financial planning clients · 0 to 0Mar 19, 2024 to Mar 18, 2025
- HQ state · unset to Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $348M to $247MMar 19, 2024 to Mar 18, 2025
- RAUM · $348M to $247MMar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $267M to $348MMar 24, 2023 to Mar 19, 2024
- RAUM · $267M to $348MMar 24, 2023 to Mar 19, 2024
- Advisory employees · 4 to 3Mar 10, 2022 to Mar 24, 2023
- Discretionary RAUM · $276M to $267MMar 10, 2022 to Mar 24, 2023
- RAUM · $276M to $267MMar 10, 2022 to Mar 24, 2023
- Discretionary RAUM · $239M to $276MMar 8, 2021 to Mar 10, 2022
- RAUM · $239M to $276MMar 8, 2021 to Mar 10, 2022
- Discretionary RAUM · $236M to $239MNov 24, 2020 to Mar 8, 2021
- RAUM · $236M to $239MNov 24, 2020 to Mar 8, 2021
- Accounts · 2 to 1Mar 4, 2019 to Mar 26, 2020
- Advisory activities · 2 to 1Mar 4, 2019 to Mar 26, 2020
- Discretionary RAUM · $232M to $236MMar 4, 2019 to Mar 26, 2020
- RAUM · $232M to $236MMar 4, 2019 to Mar 26, 2020
- HQ city · M••••• DF to CDMXMar 13, 2018 to Mar 4, 2019
- Discretionary RAUM · $272M to $232MMar 13, 2018 to Mar 4, 2019
- RAUM · $272M to $232MMar 13, 2018 to Mar 4, 2019
- Accounts · 1 to 2Mar 15, 2017 to Mar 13, 2018
- Advisory employees · 3 to 4Mar 15, 2017 to Mar 13, 2018
- Advisory activities · 1 to 2Mar 15, 2017 to Mar 13, 2018
- Employees · 4 to 5Mar 15, 2017 to Mar 13, 2018
- Other offices · unset to 0.0Mar 15, 2017 to Mar 13, 2018
- Discretionary RAUM · $242M to $272MMar 15, 2017 to Mar 13, 2018
- RAUM · $242M to $272MMar 15, 2017 to Mar 13, 2018
- Discretionary RAUM · $284M to $242MMay 6, 2016 to Mar 15, 2017
- RAUM · $284M to $242MMay 6, 2016 to Mar 15, 2017
- Discretionary RAUM · $342M to $284MJun 9, 2015 to Mar 4, 2016
- RAUM · $342M to $284MJun 9, 2015 to Mar 4, 2016
- Advisory employees · 5 to 3Mar 31, 2014 to Mar 19, 2015
- Employees · 6 to 4Mar 31, 2014 to Mar 19, 2015
- Discretionary RAUM · $409M to $342MMar 31, 2014 to Mar 19, 2015
- RAUM · $409M to $342MMar 31, 2014 to Mar 19, 2015
- Discretionary RAUM · $412M to $409MFeb 19, 2013 to Mar 31, 2014
- RAUM · $412M to $409MFeb 19, 2013 to Mar 31, 2014
- Advisory employees · unset to 5.0Mar 9, 2012 to Feb 19, 2013
Signals
2 dated events
- I•••••••• D•• F•••• M•••••• S• reported RAUM $246.7M, down 29% from $347.8M (2024-03-19 to 2025-03-18)Mar 18, 2025 · RAUM change · derived
- Alberto Gomez-Pimienta (Trustee) no longer on Schedule A of I•••••••• D•• F•••• M•••••• S• (listed 2020-03-26, absent 2020-11-24)Nov 24, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 5255-91383350reportedpublic record, Form ADV, Mar 23, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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