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
C••••••• C••• R••••••••• G••••
Legal name C••••••• C••• R••••••••• G••••• L••
Latest filing Apr 28, 2026
First filing on the tape Jul 28, 2025 · 3 filings
SEC status approved since Jul 17, 2025
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$131M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$32.7M
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$131M as of Apr 28, 2026
Jul 28, 2025$109M then
HNW client RAUM$31.1M as of Apr 28, 2026
Jul 28, 2025$25.0M then
State-registered IARs (5.B.3)4 as of Apr 28, 2026
Jul 28, 20251 then
Employees (5.A)12 as of Apr 28, 2026
Jul 28, 20259 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $32.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 233derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $140,326derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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
- 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 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
- Individuals$99.8M76%
- High-net-worth individuals$31.1M24%
- Individual clients
- 918reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 933reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• J••••• C•••••• | Metairie, La | Apr 8, 2008 | 23 y | 0 |
| D•••• P•••••• S••••••• | Metairie, La | Jan 30, 2026 | 11 y | 0 |
| D••••• R••••• M••••• | Metairie, La | Jan 30, 2026 | 10 y | 0 |
| A•••••• J••••• C•••••• | Metairie, La | Jan 30, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- M•••••• S••• F••• to E••••• J••••Jun 13, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• A••••••• J••••• · Managing Member/Chief Compliance Officercontrolsince 02/2008 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Metairie, La · principal | 4 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,220 to 933Jan 30, 2026 to Apr 28, 2026
- HNW clients · 13 to 15Jan 30, 2026 to Apr 28, 2026
- Individual clients · 902 to 918Jan 30, 2026 to Apr 28, 2026
- Discretionary RAUM · $125M to $131MJan 30, 2026 to Apr 28, 2026
- HNW RAUM · $29.1M to $31.1MJan 30, 2026 to Apr 28, 2026
- Individual RAUM · $95.4M to $99.8MJan 30, 2026 to Apr 28, 2026
- RAUM · $125M to $131MJan 30, 2026 to Apr 28, 2026
- Accounts · 1,760 to 1,220Jul 28, 2025 to Jan 30, 2026
- Advisory employees · 1 to 4Jul 28, 2025 to Jan 30, 2026
- HNW clients · 15 to 13Jul 28, 2025 to Jan 30, 2026
- Individual clients · 860 to 902Jul 28, 2025 to Jan 30, 2026
- Employees · 9 to 12Jul 28, 2025 to Jan 30, 2026
- Financial planning clients · 251-500 to 26-50Jul 28, 2025 to Jan 30, 2026
- State-registered IARs · 1 to 4Jul 28, 2025 to Jan 30, 2026
- Other offices · 3 to 2Jul 28, 2025 to Jan 30, 2026
- Discretionary RAUM · $109M to $125MJul 28, 2025 to Jan 30, 2026
- HNW RAUM · $25.0M to $29.1MJul 28, 2025 to Jan 30, 2026
- Individual RAUM · $84.0M to $95.4MJul 28, 2025 to Jan 30, 2026
- RAUM · $109M to $125MJul 28, 2025 to Jan 30, 2026
Signals
1 dated events
- M•••••• S••• F••• left C••••••• C••• R••••••••• G•••• for E••••• J•••• (registered 2024-11-19)Jun 13, 2024 · Advisor changed firm · fact
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
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 504-828-2171reportedpublic record, Form ADV, Apr 28, 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
- $32.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026