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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Latest filing Mar 17, 2026
First filing on the tape Feb 24, 2012 · 17 filings
SEC status approved since Jan 12, 1994
RAUM
$209M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$209M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$209M as of Mar 17, 2026
Feb 24, 2012$94.7M then
HNW client RAUM$209M as of Mar 17, 2026
Mar 14, 2018$174M then
State-registered IARs (5.B.3)0 as of Mar 17, 2026
Feb 24, 20120 then
Employees (5.A)1 as of Mar 17, 2026
Mar 20, 20131 then
Private funds: no history
RAUM +10% over the last fiscal year+9.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $10.4MderivedHNW RAUM over HNW clients
- Average account
- $10.0MderivedRAUM 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
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $16.3M, 4 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$209M100%
- Individuals$667,3540.3%
- Individual clients
- 1reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 21reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $16.3M for 4 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 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
- Z••••••••• A•••• L•••• · Owner/Chief Compliance Officercontrolsince 01/1992 · owns 75% or more
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
- Assets in custody · $14.4M to $16.3MFeb 26, 2025 to Mar 17, 2026
- Discretionary RAUM · $190M to $209MFeb 26, 2025 to Mar 17, 2026
- HNW RAUM · $189M to $209MFeb 26, 2025 to Mar 17, 2026
- Individual RAUM · $621,283 to $667,354Feb 26, 2025 to Mar 17, 2026
- RAUM · $190M to $209MFeb 26, 2025 to Mar 17, 2026
- Accounts · 22 to 21Nov 7, 2024 to Feb 26, 2025
- Individual clients · 2 to 1Nov 7, 2024 to Feb 26, 2025
- Assets in custody · $18.7M to $14.4MNov 7, 2024 to Feb 26, 2025
- Financial planning clients · 0 to 0Nov 7, 2024 to Feb 26, 2025
- HQ city · unset to Nov 7, 2024 to Feb 26, 2025
- HQ state · unset to Nov 7, 2024 to Feb 26, 2025
- Discretionary RAUM · $167M to $190MNov 7, 2024 to Feb 26, 2025
- HNW RAUM · $166M to $189MNov 7, 2024 to Feb 26, 2025
- Individual RAUM · $1.3M to $621,283Nov 7, 2024 to Feb 26, 2025
- RAUM · $167M to $190MNov 7, 2024 to Feb 26, 2025
- Custody of client assets · false to trueMar 8, 2024 to Nov 7, 2024
- Employees · 481 to 1Mar 8, 2024 to Nov 7, 2024
- Accounts · 24 to 22Mar 16, 2023 to Mar 8, 2024
- HNW clients · 21 to 20Mar 16, 2023 to Mar 8, 2024
- Individual clients · 3 to 2Mar 16, 2023 to Mar 8, 2024
- Assets in custody · $19.5M to $18.7MMar 16, 2023 to Mar 8, 2024
- Employees · 1 to 481Mar 16, 2023 to Mar 8, 2024
- Discretionary RAUM · $159M to $167MMar 16, 2023 to Mar 8, 2024
- HNW RAUM · $157M to $166MMar 16, 2023 to Mar 8, 2024
- Individual RAUM · $1.5M to $1.3MMar 16, 2023 to Mar 8, 2024
- RAUM · $159M to $167MMar 16, 2023 to Mar 8, 2024
- Accounts · 23 to 24Mar 17, 2022 to Mar 16, 2023
- HNW clients · 19 to 21Mar 17, 2022 to Mar 16, 2023
- Individual clients · 2 to 3Mar 17, 2022 to Mar 16, 2023
- Assets in custody · $22.4M to $19.5MMar 17, 2022 to Mar 16, 2023
- Discretionary RAUM · $199M to $159MMar 17, 2022 to Mar 16, 2023
- HNW RAUM · $198M to $157MMar 17, 2022 to Mar 16, 2023
- Individual RAUM · $980,059 to $1.5MMar 17, 2022 to Mar 16, 2023
- RAUM · $199M to $159MMar 17, 2022 to Mar 16, 2023
- Individual clients · 4 to 2Mar 17, 2021 to Mar 17, 2022
- Assets in custody · $20.3M to $22.4MMar 17, 2021 to Mar 17, 2022
- Discretionary RAUM · $201M to $199MMar 17, 2021 to Mar 17, 2022
- HNW RAUM · $199M to $198MMar 17, 2021 to Mar 17, 2022
- Individual RAUM · $1.9M to $980,059Mar 17, 2021 to Mar 17, 2022
- RAUM · $201M to $199MMar 17, 2021 to Mar 17, 2022
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 9173559432reportedpublic record, Form ADV, Mar 17, 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
- Independent wealth managerderiveda 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