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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••••••••
Legal name A••••••••• I••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Jan 19, 2012 · 26 filings
SEC status approved since Aug 4, 2009
RAUM
$1.7B
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
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.7B as of Mar 12, 2026
Jan 19, 2012$403M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 12, 2026
Jan 19, 20120 then
Employees (5.A)11 as of Mar 12, 2026
Jan 8, 201312 then
Private funds: no history
RAUM +45% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $1.7BderivedRAUM 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
- $95.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +45%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- 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
- Investment companies$1.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
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
- A•••••• D•••••• S••••• · Managing Director, Coo, Ciocontrolsince 11/2008 · owns less than 5%
- C•••• J••••• E••••• · Managing Directorcontrolsince 06/2013 · owns less than 5%
- H•••••• N••• · Chief Executive Officercontrolsince 10/2006 · owns less than 5%
- L•••••• S•••••••• J••• · Chief Compliance Officercontrolsince 08/2013 · owns less than 5%
- H•••••• N••• · Managing Membercontrolsince 09/2008 · owns 75% or more of W••••• L••• G••••• L••
Entity owners
- W••••• L••• G••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 17 to 18Mar 25, 2025 to Mar 12, 2026
- Employees · 10 to 11Mar 25, 2025 to Mar 12, 2026
- Discretionary RAUM · $1.2B to $1.7BMar 25, 2025 to Mar 12, 2026
- RAUM · $1.2B to $1.7BMar 25, 2025 to Mar 12, 2026
- Advisory employees · 4 to 5Mar 21, 2024 to Mar 25, 2025
- BD registered reps · 5 to 4Mar 21, 2024 to Mar 25, 2025
- Employees · 9 to 10Mar 21, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.2B to $1.2BMar 21, 2024 to Mar 25, 2025
- RAUM · $1.2B to $1.2BMar 21, 2024 to Mar 25, 2025
- Accounts · 26 to 17Sep 14, 2023 to Mar 21, 2024
- Advisory employees · 5 to 4Sep 14, 2023 to Mar 21, 2024
- BD registered reps · 4 to 5Sep 14, 2023 to Mar 21, 2024
- Discretionary RAUM · $1.2B to $1.2BSep 14, 2023 to Mar 21, 2024
- RAUM · $1.2B to $1.2BSep 14, 2023 to Mar 21, 2024
- Accounts · 24 to 26Jun 22, 2022 to Mar 16, 2023
- Insurance-licensed employees · 0 to 1Jun 22, 2022 to Mar 16, 2023
- State-registered IARs · 0 to 1Jun 22, 2022 to Mar 16, 2023
- Discretionary RAUM · $2.4B to $1.2BJun 22, 2022 to Mar 16, 2023
- RAUM · $2.4B to $1.2BJun 22, 2022 to Mar 16, 2023
- Accounts · 18 to 24Mar 8, 2021 to Mar 29, 2022
- Advisory employees · 4 to 5Mar 8, 2021 to Mar 29, 2022
- Employees · 8 to 9Mar 8, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.1B to $2.4BMar 8, 2021 to Mar 29, 2022
- RAUM · $1.1B to $2.4BMar 8, 2021 to Mar 29, 2022
- Accounts · 16 to 18Nov 5, 2020 to Mar 8, 2021
- BD registered reps · 2 to 4Nov 5, 2020 to Mar 8, 2021
- Employees · 7 to 8Nov 5, 2020 to Mar 8, 2021
- State-registered IARs · 2 to 0Nov 5, 2020 to Mar 8, 2021
- Discretionary RAUM · $683M to $1.1BNov 5, 2020 to Mar 8, 2021
- RAUM · $683M to $1.1BNov 5, 2020 to Mar 8, 2021
- Employees · 9 to 7Nov 21, 2019 to Mar 20, 2020
- Other offices · 3 to 0Nov 21, 2019 to Mar 20, 2020
- Discretionary RAUM · $658M to $683MNov 21, 2019 to Mar 20, 2020
- RAUM · $658M to $683MNov 21, 2019 to Mar 20, 2020
- Accounts · 17 to 16Mar 26, 2018 to Mar 18, 2019
- Advisory employees · 5 to 4Mar 26, 2018 to Mar 18, 2019
- Employees · 14 to 9Mar 26, 2018 to Mar 18, 2019
- State-registered IARs · 0 to 2Mar 26, 2018 to Mar 18, 2019
- Discretionary RAUM · $1.1B to $658MMar 26, 2018 to Mar 18, 2019
Signals
9 dated events
- Advisorshares reported RAUM $1.7B, up 45% from $1.2B (2025-03-25 to 2026-03-12)Mar 12, 2026 · RAUM change · derived
- J. Julio Lugo (Vp Head Of Operations) no longer on Schedule A of Advisorshares (listed 2023-05-04, absent 2023-09-14)Sep 14, 2023 · Control person left · inference
- Michael Julio Lugo (Vp Head Of Operations) no longer on Schedule A of Advisorshares (listed 2023-03-29, absent 2023-05-04)May 4, 2023 · Control person left · inference
- J. Julio Lugo (Vp Head Of Operations) appeared on Schedule A of AdvisorsharesMay 4, 2023 · Control person joined · fact
- Advisorshares reported RAUM $1.2B, down 48% from $2.4B (2022-06-22 to 2023-03-16)Mar 16, 2023 · RAUM change · derived
- Advisorshares reported RAUM $2.4B, up 126% from $1.1B (2021-03-08 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Michael Julio Lugo (Vp Head Of Operations) appeared on Schedule A of AdvisorsharesMar 29, 2022 · Control person joined · fact
- Advisorshares reported RAUM $1.1B, up 55% from $682.7M (2020-11-05 to 2021-03-08)Mar 8, 2021 · RAUM change · derived
- Advisorshares reported RAUM $657.8M, down 39% from $1.1B (2018-03-26 to 2019-03-18)Mar 18, 2019 · RAUM change · derived
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
- A•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 877-843-3831reportedpublic record, Form ADV, Mar 12, 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
- Asset manager (funds and pooled vehicles)deriveda 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