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
L••••••• A•••• M••••••••• L••
Latest filing Dec 10, 2025
First filing on the tape Apr 2, 2012 · 34 filings
SEC status approved since Jun 30, 2014
RAUM
$339M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$300M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$339M as of Dec 10, 2025
Apr 2, 2012$83.5M then
HNW client RAUM$222M as of Dec 10, 2025
Mar 30, 2018$70.7M then
State-registered IARs (5.B.3)3 as of Dec 10, 2025
Apr 2, 20120 then
Employees (5.A)7 as of Dec 10, 2025
Feb 24, 20152 then
Private funds: no history
RAUM +16% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Dec 10, 2025; every figure names its basis
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $591,430derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$222M65%
- Individuals$78.5M23%
- Charitable organizations$39.1M12%
- Individual clients
- 207reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 574reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- M••••• J• R•••••••• to E• W••••• A•••••••Mar 23, 2026 · RIA to RIA
- J•••••• N••••• B••• to E• W••••• A•••••••Mar 23, 2026 · RIA to RIA
- D•••• A•••• C••••• to M•••••• I••••••••• M••••••••• C••••••Mar 23, 2026 · Other
- H••••• M•••• F•••• to E• W••••• A•••••••Mar 23, 2026 · RIA to RIA
- E•••• P•••••• E•••• to E••••• J••••Sep 27, 2024 · RIA to affiliated broker-dealer or bank
- D•••••• E••••• L•••• to I••••••••• A••••••• G••••Mar 27, 2024 · RIA to RIA
- M••••• L•• S•••••• to H•••••••• W•••••• L••Aug 16, 2018 · RIA to a state-registered adviser
Joined, latest
- M••••• J• R•••••••• from W•••• F•••• A•••••••Nov 19, 2024 · Wirehouse to independent RIA
- D•••••• E••••• L•••• from L•••• F•••••••• S•••••••Jan 3, 2018 · Other
- M••••• L•• S•••••• from L•• F•••••••• L••Feb 16, 2016 · Other
- H••••• M•••• F•••• from M••••• S••••••May 21, 2013 · Other
- D•••• A•••• C••••• from R••••••••• A•••• M••••••••• I•••Jan 10, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for E• W••••• A•••••••Mar 23, 2026 · Santa Fe, Nm · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• D••••• A•••• · Principal/Chief Compliance Officercontrolsince 09/2002 · owns less than 5%
- F••••• H•••••• M•••• · Principalcontrolsince 07/2015 · owns less than 5%
- C•••••• D••••• A•••• · Principalcontrolsince 07/2000 · owns 75% or more of Raven'S Wing
- F••••• H•••••• M•••• · Principalcontrolsince 06/2015 · owns 75% or more of S•••••••• L•••
- P•••••• M••••• E•••••• · Partnersince 03/2024 · owns less than 5%
Entity owners
- R••••••••• A•••• M••••••••• I••• · Memberdirect · owns 75% or more
- S•••••••• L••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Santa Fe, Nm · principal | 0 | 0 | 4 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 610 to 574Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 4 to 3Mar 28, 2024 to Mar 28, 2025
- Charity clients · 6 to 9Mar 28, 2024 to Mar 28, 2025
- HNW clients · 70 to 68Mar 28, 2024 to Mar 28, 2025
- Individual clients · 187 to 207Mar 28, 2024 to Mar 28, 2025
- Employees · 6 to 7Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $293M to $339MMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $198M to $222MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $66.8M to $78.5MMar 28, 2024 to Mar 28, 2025
- RAUM · $293M to $339MMar 28, 2024 to Mar 28, 2025
- Accounts · 552 to 610Mar 15, 2023 to Mar 28, 2024
- Charity clients · 8 to 6Mar 15, 2023 to Mar 28, 2024
- HNW clients · 56 to 70Mar 15, 2023 to Mar 28, 2024
- Individual clients · 194 to 187Mar 15, 2023 to Mar 28, 2024
- Employees · 8 to 6Mar 15, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 3Mar 15, 2023 to Mar 28, 2024
- Other offices · 1 to 0Mar 15, 2023 to Mar 28, 2024
- Discretionary RAUM · $240M to $293MMar 15, 2023 to Mar 28, 2024
- HNW RAUM · $141M to $198MMar 15, 2023 to Mar 28, 2024
- Individual RAUM · $74.4M to $66.8MMar 15, 2023 to Mar 28, 2024
- RAUM · $240M to $293MMar 15, 2023 to Mar 28, 2024
- Accounts · 423 to 552Dec 7, 2022 to Mar 15, 2023
- Advisory employees · 3 to 4Dec 7, 2022 to Mar 15, 2023
- HNW clients · 57 to 56Dec 7, 2022 to Mar 15, 2023
- Individual clients · 166 to 194Dec 7, 2022 to Mar 15, 2023
- Employees · 3 to 8Dec 7, 2022 to Mar 15, 2023
- Financial planning clients · 26-50 to 51-100Dec 7, 2022 to Mar 15, 2023
- State-registered IARs · 3 to 4Dec 7, 2022 to Mar 15, 2023
- Discretionary RAUM · $239M to $240MDec 7, 2022 to Mar 15, 2023
- HNW RAUM · $149M to $141MDec 7, 2022 to Mar 15, 2023
- Individual RAUM · $63.7M to $74.4MDec 7, 2022 to Mar 15, 2023
- RAUM · $239M to $240MDec 7, 2022 to Mar 15, 2023
- Charity clients · 5 to 8Apr 22, 2021 to Mar 14, 2022
- HNW clients · 54 to 57Apr 22, 2021 to Mar 14, 2022
- Individual clients · 132 to 166Apr 22, 2021 to Mar 14, 2022
- Employees · 6 to 3Apr 22, 2021 to Mar 14, 2022
- Financial planning clients · 51-100 to 26-50Apr 22, 2021 to Mar 14, 2022
- Discretionary RAUM · $195M to $239MApr 22, 2021 to Mar 14, 2022
- HNW RAUM · $126M to $149MApr 22, 2021 to Mar 14, 2022
Signals
9 dated events
- L••••••• A•••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $339.5M)Apr 1, 2026 · Left the SEC roster · derived
- J•••••• N••••• B••• left L••••••• A•••• M••••••••• L•• for E• W••••• A••••••• (registered 2026-03-16)Mar 23, 2026 · Advisor changed firm · fact
- M••••• J• R•••••••• left L••••••• A•••• M••••••••• L•• for E• W••••• A••••••• (registered 2026-02-24)Mar 23, 2026 · Advisor changed firm · fact
- H••••• M•••• F•••• left L••••••• A•••• M••••••••• L•• for E• W••••• A••••••• (registered 2026-02-17)Mar 23, 2026 · Advisor changed firm · fact
- D•••• A•••• C••••• left L••••••• A•••• M••••••••• L•• for M•••••• I••••••••• M••••••••• C•••••• (registered 2006-03-23)Mar 23, 2026 · Advisor changed firm · fact
- L••••••• A•••• M••••••••• L••'s advisors moved to E• W••••• A••••••• (Santa FE, NM): 3 of 4 registered, on the same dayMar 23, 2026 · Firm absorbed (people side) · derived
- E•••• P•••••• E•••• left L••••••• A•••• M••••••••• L•• for E••••• J•••• (registered 2024-09-23)Sep 27, 2024 · Advisor changed firm · fact
- D•••••• E••••• L•••• left L••••••• A•••• M••••••••• L•• for I••••••••• A••••••• G•••• (registered 2026-01-23)Mar 27, 2024 · Advisor changed firm · fact
- L••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 18, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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