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
U••••••••• I•••••••• L••
Latest filing Aug 31, 2021
First filing on the tape Jul 26, 2018 · 9 filings
RAUM
$191M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$190M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$191M as of Apr 2, 2021
Mar 30, 2019$135M then
HNW client RAUM$176M as of Apr 2, 2021
Mar 30, 2019$119M then
State-registered IARs (5.B.3)2 as of Apr 2, 2021
Mar 30, 20192 then
Employees (5.A)2 as of Apr 2, 2021
Mar 30, 20192 then
Private funds: no history
RAUM +4.3% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 31, 2021; every figure names its basis
- RAUM per advisor
- $95.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $503,440derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$176M92%
- Individuals$13.5M7.1%
- Charitable organizations$1.7M0.9%
- Individual clients
- 28reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 380reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
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
- O••••••• P•••• P•••••• · Managing Member/ Chief Compliance Officercontrolsince 02/2007 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Succession · false to trueApr 2, 2021 to Aug 31, 2021
- HNW clients · 49 to 48Jun 30, 2020 to Apr 2, 2021
- Individual clients · 25 to 28Jun 30, 2020 to Apr 2, 2021
- Discretionary RAUM · $183M to $191MJun 30, 2020 to Apr 2, 2021
- HNW RAUM · $169M to $176MJun 30, 2020 to Apr 2, 2021
- Individual RAUM · $13.4M to $13.5MJun 30, 2020 to Apr 2, 2021
- RAUM · $183M to $191MJun 30, 2020 to Apr 2, 2021
- Accounts · 366 to 380Jun 4, 2019 to Feb 13, 2020
- HNW clients · 41 to 49Jun 4, 2019 to Feb 13, 2020
- Individual clients · 29 to 25Jun 4, 2019 to Feb 13, 2020
- Discretionary RAUM · $135M to $183MJun 4, 2019 to Feb 13, 2020
- HNW RAUM · $119M to $169MJun 4, 2019 to Feb 13, 2020
- Individual RAUM · $15.8M to $13.4MJun 4, 2019 to Feb 13, 2020
- RAUM · $135M to $183MJun 4, 2019 to Feb 13, 2020
- Accounts · 352 to 366Jul 26, 2018 to Mar 30, 2019
- Advisory employees · 1 to 2Jul 26, 2018 to Mar 30, 2019
- HNW clients · 39 to 41Jul 26, 2018 to Mar 30, 2019
- Individual clients · 24 to 29Jul 26, 2018 to Mar 30, 2019
- Employees · 1 to 2Jul 26, 2018 to Mar 30, 2019
- State-registered IARs · 1 to 2Jul 26, 2018 to Mar 30, 2019
- Other offices · 0 to 1Jul 26, 2018 to Mar 30, 2019
- Discretionary RAUM · $156M to $135MJul 26, 2018 to Mar 30, 2019
- HNW RAUM · $143M to $119MJul 26, 2018 to Mar 30, 2019
- Individual RAUM · $12.1M to $15.8MJul 26, 2018 to Mar 30, 2019
- RAUM · $156M to $135MJul 26, 2018 to Mar 30, 2019
Signals
2 dated events
- U••••••••• I•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 31, 2021 · Succession (Item 4) · fact
- U••••••••• I•••••••• L•• filed its initial SEC registration (Form ADV)Jul 26, 2018 · 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