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.
Former SEC-registered adviser
O•••••••• • A••••••••• L••
Latest filing Mar 13, 2018
First filing on the tape Mar 7, 2012 · 8 filings
RAUM
$2.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.2M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$2.2M as of Mar 13, 2018
Mar 7, 2012$3.1M then
HNW client RAUM: $1.3M
State-registered IARs (5.B.3)0 as of Mar 13, 2018
Mar 7, 20120 then
Employees (5.A)1 as of Mar 13, 2018
Mar 7, 20130 then
Private funds: no history
RAUM -6.7% over the last fiscal year-9.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 2018; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $223,904derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.7%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 assets, hourly, otherreportedItem 5.E
- Advisory activities
- financial planning, 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3M56%
- Individuals$989,03844%
- Individual clients
- 9reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- 1-10reported
- 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••••••••• C••••••••• A••••••••• · Chief Compliance Officer/Managing Membercontrolsince 01/2010 · 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
- Accounts · 23 to 10Mar 27, 2017 to Mar 13, 2018
- Advisory activities · 3 to 2Mar 27, 2017 to Mar 13, 2018
- Individual clients · unset to 9.0Mar 27, 2017 to Mar 13, 2018
- Other offices · unset to 0.0Mar 27, 2017 to Mar 13, 2018
- Discretionary RAUM · $2.4M to $2.2MMar 27, 2017 to Mar 13, 2018
- HNW RAUM · unset to 1250000.0Mar 27, 2017 to Mar 13, 2018
- Individual RAUM · unset to 989038.0Mar 27, 2017 to Mar 13, 2018
- RAUM · $2.4M to $2.2MMar 27, 2017 to Mar 13, 2018
- Accounts · 15 to 23Mar 10, 2016 to Mar 27, 2017
- Discretionary RAUM · $2.7M to $2.4MMar 10, 2016 to Mar 27, 2017
- RAUM · $2.7M to $2.4MMar 10, 2016 to Mar 27, 2017
- Related adviser · true to falseMar 10, 2016 to Mar 27, 2017
- Accounts · 21 to 15Mar 20, 2015 to Mar 10, 2016
- Advisory employees · 0 to 1Mar 20, 2015 to Mar 10, 2016
- Employees · 0 to 1Mar 20, 2015 to Mar 10, 2016
- Discretionary RAUM · $3.0M to $2.7MMar 20, 2015 to Mar 10, 2016
- RAUM · $3.0M to $2.7MMar 20, 2015 to Mar 10, 2016
- Related adviser · false to trueMar 20, 2015 to Mar 10, 2016
- Accounts · 34 to 21Jan 23, 2014 to Mar 19, 2015
- HQ city · VOLUNTARI, JUD. ILFOV to unsetJan 23, 2014 to Mar 19, 2015
- Discretionary RAUM · $2.8M to $3.0MJan 23, 2014 to Mar 19, 2015
- RAUM · $2.8M to $3.0MJan 23, 2014 to Mar 19, 2015
- Accounts · 30 to 34Mar 7, 2013 to Jan 23, 2014
- Discretionary RAUM · $3.0M to $2.8MMar 7, 2013 to Jan 23, 2014
- RAUM · $3.0M to $2.8MMar 7, 2013 to Jan 23, 2014
- Accounts · 31 to 30Mar 7, 2012 to Mar 7, 2013
- Advisory employees · unset to 0.0Mar 7, 2012 to Mar 7, 2013
- Employees · unset to 0.0Mar 7, 2012 to Mar 7, 2013
- Discretionary RAUM · $3.1M to $3.0MMar 7, 2012 to Mar 7, 2013
- RAUM · $3.1M to $3.0MMar 7, 2012 to Mar 7, 2013
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