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
I•••••• A••••••••• L••
Legal name I•••••• C••••••• L••
Latest filing Mar 26, 2013
First filing on the tape Jan 11, 2012 · 3 filings
RAUM
$1.2M
reported, Item 5.F
Discretionary
100%
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
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$1.2M as of Mar 26, 2013
Jan 11, 2012$6.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 26, 2013
Jan 11, 20120 then
Employees (5.A): 1
Private funds: no history
RAUM -83% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Mar 26, 2013; every figure names its basis
- RAUM per advisor
- $1.2MderivedRAUM 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
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- -83%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- M•••••• H••••• H••••• to N•••••• W••••• A•••••••Sep 11, 2013 · Other
- M•••••• H••••• H••••• to M••• H••••• R•••••••• L••Dec 31, 2009 · Other
Joined, latest
- M•••••• H••••• H••••• from M••• H••••• R•••••••• L••Aug 30, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• M••••••• H••••• · Managing Member/ Chief Compliance Officercontrolsince 10/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · unset to 1.0Feb 25, 2012 to Mar 26, 2013
- Employees · unset to 1.0Feb 25, 2012 to Mar 26, 2013
- State-registered IARs · 0 to 1Feb 25, 2012 to Mar 26, 2013
- Discretionary RAUM · $6.8M to $1.2MFeb 25, 2012 to Mar 26, 2013
- RAUM · $6.8M to $1.2MFeb 25, 2012 to Mar 26, 2013
- Business name · I•••••• C••••••• L•• to I•••••• A••••••••• L••Jan 11, 2012 to Feb 25, 2012
Signals
No event on the tape.
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