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
M••••• P•••••••• C••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 26, 2012 · 16 filings
SEC status approved since Jun 10, 2002
RAUM
$1.2B
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.2B as of Mar 26, 2026
Mar 26, 2012$290M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 26, 20120 then
Employees (5.A)3 as of Mar 26, 2026
Mar 27, 20132 then
Private funds: no history
RAUM +18% over the last fiscal year+7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $133MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +18%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, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisers, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 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
- D•••••••• D••••• J••• · President/Chief Compliance Officercontrolsince 05/2002 · owns 50% to 75%
- D•••••••• J•••• L••• · Chief Financial Officercontrolsince 05/2002 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 26, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 8 to 9Mar 25, 2025 to Mar 26, 2026
- Advisory employees · 1 to 2Mar 25, 2025 to Mar 26, 2026
- Employees · 2 to 3Mar 25, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $1.0B to $1.2BMar 25, 2025 to Mar 26, 2026
- RAUM · $1.0B to $1.2BMar 25, 2025 to Mar 26, 2026
- Financial planning clients · unset to Apr 29, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $1.0B to $1.0BApr 29, 2024 to Mar 25, 2025
- RAUM · $1.0B to $1.0BApr 29, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $970M to $1.0BMar 24, 2023 to Mar 16, 2024
- RAUM · $970M to $1.0BMar 24, 2023 to Mar 16, 2024
- Accounts · 6 to 8Mar 29, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $662M to $970MMar 29, 2022 to Mar 24, 2023
- RAUM · $662M to $970MMar 29, 2022 to Mar 24, 2023
- HQ city · unset to NAPLESMar 25, 2021 to Mar 29, 2022
- HQ state · unset to FLMar 25, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $572M to $662MMar 25, 2021 to Mar 29, 2022
- RAUM · $572M to $662MMar 25, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $514M to $572MMar 27, 2020 to Mar 25, 2021
- RAUM · $514M to $572MMar 27, 2020 to Mar 25, 2021
- Non-discretionary RAUM · $451M to $514MMar 19, 2019 to Mar 27, 2020
- RAUM · $451M to $514MMar 19, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $450M to $451MMar 30, 2018 to Mar 19, 2019
- RAUM · $450M to $451MMar 30, 2018 to Mar 19, 2019
- Other offices · unset to 0.0Mar 22, 2017 to Mar 30, 2018
- Non-discretionary RAUM · $415M to $450MMar 22, 2017 to Mar 30, 2018
- RAUM · $415M to $450MMar 22, 2017 to Mar 30, 2018
- Non-discretionary RAUM · $353M to $415MMar 28, 2016 to Mar 22, 2017
- RAUM · $353M to $415MMar 28, 2016 to Mar 22, 2017
- Non-discretionary RAUM · $340M to $353MMar 26, 2015 to Mar 28, 2016
- RAUM · $340M to $353MMar 26, 2015 to Mar 28, 2016
- Financial planning clients · 0 to unsetMar 28, 2014 to Mar 26, 2015
- Non-discretionary RAUM · $295M to $340MMar 28, 2014 to Mar 26, 2015
- RAUM · $295M to $340MMar 28, 2014 to Mar 26, 2015
- Non-discretionary RAUM · $273M to $295MMar 27, 2013 to Mar 28, 2014
- RAUM · $273M to $295MMar 27, 2013 to Mar 28, 2014
- Accounts · 8 to 6Mar 26, 2012 to Mar 27, 2013
- Advisory employees · unset to 1.0Mar 26, 2012 to Mar 27, 2013
- Employees · unset to 2.0Mar 26, 2012 to Mar 27, 2013
- Non-discretionary RAUM · $290M to $273MMar 26, 2012 to Mar 27, 2013
- RAUM · $290M to $273MMar 26, 2012 to Mar 27, 2013
Signals
1 dated events
- M••••• P•••••••• C••••••••• L•• reported RAUM $970.3M, up 46% from $662.5M (2022-03-29 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
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
- 2393596400reportedpublic record, Form ADV, Mar 26, 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
- Other 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