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

A•••• O•••• F••••••••• I•••

Former SEC-registered adviserCRD 157208SEC 801-120575IAPD
Latest filing Mar 26, 2021
First filing on the tape Feb 19, 2021 · 3 filings
RAUM
$109M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$108M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$109M as of Mar 26, 2021
Feb 19, 2021$109M then
HNW client RAUM$91.4M as of Mar 26, 2021
Feb 19, 2021$91.4M then
State-registered IARs (5.B.3)1 as of Mar 26, 2021
Feb 19, 20211 then
Employees (5.A)2 as of Mar 26, 2021
Feb 19, 20212 then
Private funds: no history
Practice profile
derived from the filing of Mar 26, 2021; every figure names its basis
RAUM per advisor
$109MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$453,808derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$91.4M84%
  • Individuals$16.7M15%
  • Charitable organizations$768,2150.7%
Individual clients
42reported
HNW clients
33reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
240reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••••••• W•••••• · President/Chief Compliance Officercontrol
      since 03/2011 · 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
    • Business name · A•••• O•••• F••••••••• L•• to A•••• O•••• F••••••••• I•••
      Mar 24, 2021 to Mar 26, 2021
    • Legal name · A•••• O•••• F••••••••• L•• to A•••• O•••• F••••••••• I•••
      Mar 24, 2021 to Mar 26, 2021
    • Organization form · Corporation to Limited Liability Company
      Mar 24, 2021 to Mar 26, 2021
    • Advisory activities · 3 to 2
      Feb 19, 2021 to Mar 24, 2021
    • Assets in custody · 0.0 to unset
      Feb 19, 2021 to Mar 24, 2021
    • Custody of client assets · true to false
      Feb 19, 2021 to Mar 24, 2021
    • Organization form · Limited Liability Company to Corporation
      Feb 19, 2021 to Mar 24, 2021
    Signals
    1 dated events
    • A•••• O•••• F••••••••• L•• filed its initial SEC registration (Form ADV)
      Feb 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