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•••••••• R••• L••
Latest filing Jul 22, 2025
First filing on the tape Jan 19, 2021 · 18 filings
SEC status approved since Mar 26, 2021
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$125M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$131M as of Jul 22, 2025
Feb 18, 2021$114M then
HNW client RAUM$30.3M as of Jul 22, 2025
Feb 18, 2021$56.5M then
State-registered IARs (5.B.3)2 as of Jul 22, 2025
Feb 18, 20212 then
Employees (5.A)3 as of Jul 22, 2025
Feb 18, 20213 then
Private funds: no history
RAUM +18% over the last fiscal year+3.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 22, 2025; every figure names its basis
- RAUM per advisor
- $65.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 608derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $77,375derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -34%derived
- Compensation
- percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$94.9M73%
- High-net-worth individuals$30.3M23%
- Corporations and businesses$2.7M2.1%
- Pension and profit-sharing plans$2.6M2.0%
- Individual clients
- 1,199reported
- HNW clients
- 16reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 1,687reported
- Financial planning clients
- reported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- J••••• L••• G••••• to M••••••• W••••• M••••••••• L••Dec 31, 2025 · RIA to RIA
- S•••• M••••••• D•••• to M••••••• W••••• M••••••••• L••Dec 31, 2025 · RIA to RIA
- K••••• O•••• P••• to A•••• W••••• A•••••••• L••Jul 8, 2024 · RIA to affiliated broker-dealer or bank
- W•••••• C••••• B•••••• to S•••• W••••• P••••••• L••Jun 17, 2020 · RIA to RIA
Joined, latest
- J••••• L••• G••••• from L•• F•••••••• L••Jul 23, 2024 · Other
- S•••• M••••••• D•••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 15, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••••• W••••• M••••••••• L••Dec 31, 2025 · Lafayette, La
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• S••••• M••••••• · President & Ccocontrolsince 04/2009 · 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 |
|---|---|---|---|---|---|
| Lafayette, La · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · unset to Mar 10, 2025 to Jul 22, 2025
- Accounts · 1,840 to 1,687Oct 3, 2024 to Mar 10, 2025
- Corporate clients · 5 to 11Oct 3, 2024 to Mar 10, 2025
- HNW clients · 18 to 16Oct 3, 2024 to Mar 10, 2025
- Individual clients · 1,817 to 1,199Oct 3, 2024 to Mar 10, 2025
- Pension plan clients · 0 to 4Oct 3, 2024 to Mar 10, 2025
- Discretionary RAUM · $110M to $131MOct 3, 2024 to Mar 10, 2025
- HNW RAUM · $28.3M to $30.3MOct 3, 2024 to Mar 10, 2025
- Individual RAUM · $79.5M to $94.9MOct 3, 2024 to Mar 10, 2025
- Pension RAUM · $0 to $2.6MOct 3, 2024 to Mar 10, 2025
- RAUM · $110M to $131MOct 3, 2024 to Mar 10, 2025
- Accounts · 1,947 to 1,840Oct 9, 2023 to Mar 19, 2024
- Corporate clients · 11 to 5Oct 9, 2023 to Mar 19, 2024
- HNW clients · 9 to 18Oct 9, 2023 to Mar 19, 2024
- Individual clients · 756 to 1,817Oct 9, 2023 to Mar 19, 2024
- Discretionary RAUM · $106M to $110MOct 9, 2023 to Mar 19, 2024
- HNW RAUM · $16.8M to $28.3MOct 9, 2023 to Mar 19, 2024
- Individual RAUM · $87.3M to $79.5MOct 9, 2023 to Mar 19, 2024
- RAUM · $106M to $110MOct 9, 2023 to Mar 19, 2024
- Advisory employees · 1 to 2Mar 24, 2023 to Mar 29, 2023
- State-registered IARs · 1 to 2Mar 24, 2023 to Mar 29, 2023
- Accounts · 969 to 1,947Jul 11, 2022 to Mar 24, 2023
- Corporate clients · 0 to 11Jul 11, 2022 to Mar 24, 2023
- HNW clients · 110 to 9Jul 11, 2022 to Mar 24, 2023
- Individual clients · 859 to 756Jul 11, 2022 to Mar 24, 2023
- Pension plan clients · 2 to 0Jul 11, 2022 to Mar 24, 2023
- Financial planning clients · 0 to unsetJul 11, 2022 to Mar 24, 2023
- Discretionary RAUM · $117M to $106MJul 11, 2022 to Mar 24, 2023
- HNW RAUM · $49.4M to $16.8MJul 11, 2022 to Mar 24, 2023
- Individual RAUM · $66.6M to $87.3MJul 11, 2022 to Mar 24, 2023
- Pension RAUM · $1.2M to $0Jul 11, 2022 to Mar 24, 2023
- RAUM · $117M to $106MJul 11, 2022 to Mar 24, 2023
- Advisory employees · 2 to 1Jul 6, 2022 to Jul 11, 2022
- Advisory activities · 2 to 1Jul 6, 2022 to Jul 11, 2022
- State-registered IARs · 2 to 1Jul 6, 2022 to Jul 11, 2022
- HQ city · unset to LAFAYETTEMar 14, 2022 to Jul 6, 2022
- HQ state · unset to LAMar 14, 2022 to Jul 6, 2022
- Accounts · 1,439 to 969Jul 13, 2021 to Mar 8, 2022
- HNW clients · 74 to 110Jul 13, 2021 to Mar 8, 2022
- Individual clients · 483 to 859Jul 13, 2021 to Mar 8, 2022
Signals
6 dated events
- I•••••••• R••• L•• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $130.5M)Feb 2, 2026 · Left the SEC roster · derived
- J••••• L••• G••••• left I•••••••• R••• L•• for M••••••• W••••• M••••••••• L•• (registered 2026-01-05)Dec 31, 2025 · Advisor changed firm · fact
- S•••• M••••••• D•••• left I•••••••• R••• L•• for M••••••• W••••• M••••••••• L•• (registered 2025-11-12)Dec 31, 2025 · Advisor changed firm · fact
- 2 advisors left I•••••••• R••• L•• (Lafayette, LA) for M••••••• W••••• M••••••••• L•• on the same dayDec 31, 2025 · Team lift-out · derived
- K••••• O•••• P••• left I•••••••• R••• L•• for A•••• W••••• A•••••••• L•• (registered 2024-07-25)Jul 8, 2024 · Advisor changed firm · fact
- I•••••••• R••• L•• filed its initial SEC registration (Form ADV)Jan 19, 2021 · 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