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
M••••••• W••••• A•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 2, 2023 · 8 filings
SEC status approved since Apr 6, 2023
RAUM
$156M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$154M 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
8 filings and snapshots on the tape
RAUM$156M as of Mar 24, 2026
Mar 28, 2024$109M then
HNW client RAUM$143M as of Mar 24, 2026
Mar 28, 2024$97.8M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 28, 20241 then
Employees (5.A)1 as of Mar 24, 2026
Mar 28, 20241 then
Private funds: no history
RAUM +7.8% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $600,835derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$143M92%
- Individuals$11.1M7.1%
- Corporations and businesses$1.9M1.2%
- Individual clients
- 30reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 260reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- S•••• D•••••• F••••••••• to S••••• W••••• M•••••••••Jun 16, 2026 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• S••••• D•••••• · Managing Member/Ccocontrolsince 06/2006 · owns 75% or more
Related persons
Schedule D 7.A
- S•••• F••••••••• L•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Albuquerque, Nm · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 257 to 260May 22, 2025 to Mar 24, 2026
- Assets in custody · $34.2M to $20.6MMay 22, 2025 to Mar 24, 2026
- Discretionary RAUM · $13.5M to $148MMay 22, 2025 to Mar 24, 2026
- HNW RAUM · $135M to $143MMay 22, 2025 to Mar 24, 2026
- Individual RAUM · $9.8M to $11.1MMay 22, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $131M to $7.9MMay 22, 2025 to Mar 24, 2026
- RAUM · $145M to $156MMay 22, 2025 to Mar 24, 2026
- Financial planning clients · 51-100 to 51-100Mar 3, 2025 to May 22, 2025
- Accounts · 254 to 257Jul 16, 2024 to Mar 3, 2025
- HNW clients · 50 to 48Jul 16, 2024 to Mar 3, 2025
- Individual clients · 32 to 30Jul 16, 2024 to Mar 3, 2025
- Assets in custody · $12.2M to $34.2MJul 16, 2024 to Mar 3, 2025
- Discretionary RAUM · $11.3M to $13.5MJul 16, 2024 to Mar 3, 2025
- HNW RAUM · $97.8M to $135MJul 16, 2024 to Mar 3, 2025
- Individual RAUM · $11.0M to $9.8MJul 16, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $97.5M to $131MJul 16, 2024 to Mar 3, 2025
- RAUM · $109M to $145MJul 16, 2024 to Mar 3, 2025
- Accounts · 251 to 254Mar 2, 2023 to Mar 28, 2024
- HNW clients · 44 to 50Mar 2, 2023 to Mar 28, 2024
- Individual clients · 33 to 32Mar 2, 2023 to Mar 28, 2024
- Assets in custody · $27.2M to $12.2MMar 2, 2023 to Mar 28, 2024
- Discretionary RAUM · $10.0M to $11.3MMar 2, 2023 to Mar 28, 2024
- HNW RAUM · $92.2M to $97.8MMar 2, 2023 to Mar 28, 2024
- Individual RAUM · $16.1M to $11.0MMar 2, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $98.2M to $97.5MMar 2, 2023 to Mar 28, 2024
- RAUM · $108M to $109MMar 2, 2023 to Mar 28, 2024
Signals
3 dated events
- M••••••• W••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $156.2M)Aug 3, 2026 · Left the SEC roster · derived
- S•••• D•••••• F••••••••• left M••••••• W••••• A•••••••• L•• for S••••• W••••• M••••••••• (registered 2026-06-02)Jun 16, 2026 · Advisor changed firm · fact
- M••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 2, 2023 · 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