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
B••••••• C•••••• F••• A•••••••
Legal name B••••••• C•••••• F••• A•••••••• L••
Latest filing Mar 14, 2025
First filing on the tape Dec 1, 2014 · 18 filings
SEC status approved since Jan 2, 2015
RAUM
$6.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
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$6.5M as of Mar 14, 2025
Mar 31, 2015$7.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 14, 2025
Mar 31, 20151 then
Employees (5.A)2 as of Mar 14, 2025
Mar 31, 20151 then
Private funds: 1
RAUM +1.9% over the last fiscal year+2.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 14, 2025; every figure names its basis
- RAUM per advisor
- $6.5MderivedRAUM 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
- $434,494derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +1.9%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 individuals, portfolio management for businesses and institutionsreportedItem 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
- Individuals$6.5M100%
- Individual clients
- 15reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• C•••••• F••• L••no longer reported | Hedge Fund | $7.5M | 3 | Dec 1, 2014 |
Owners and control persons
Schedule A and B, latest filing
- E••••• P••••• J••• · Managing Member And Chief Compliance Officercontrolsince 08/2008 · 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
- Accounts · 14 to 15Mar 20, 2024 to Mar 14, 2025
- Individual clients · 14 to 15Mar 20, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 14, 2025
- HQ city · CLAREMONT to Mar 20, 2024 to Mar 14, 2025
- HQ state · unset to Mar 20, 2024 to Mar 14, 2025
- Discretionary RAUM · $6.4M to $6.5MMar 20, 2024 to Mar 14, 2025
- Individual RAUM · $6.4M to $6.5MMar 20, 2024 to Mar 14, 2025
- RAUM · $6.4M to $6.5MMar 20, 2024 to Mar 14, 2025
- Discretionary RAUM · $5.1M to $6.4MMar 8, 2023 to Mar 20, 2024
- Individual RAUM · $5.1M to $6.4MMar 8, 2023 to Mar 20, 2024
- RAUM · $5.1M to $6.4MMar 8, 2023 to Mar 20, 2024
- HQ city · NEWLANDS to CLAREMONTFeb 15, 2022 to Mar 8, 2023
- Discretionary RAUM · $6.0M to $5.1MFeb 15, 2022 to Mar 8, 2023
- Individual RAUM · $6.0M to $5.1MFeb 15, 2022 to Mar 8, 2023
- RAUM · $6.0M to $5.1MFeb 15, 2022 to Mar 8, 2023
- Accounts · 15 to 14Mar 19, 2021 to Feb 15, 2022
- Individual clients · 15 to 14Mar 19, 2021 to Feb 15, 2022
- Discretionary RAUM · $4.7M to $6.0MMar 19, 2021 to Feb 15, 2022
- Individual RAUM · $4.7M to $6.0MMar 19, 2021 to Feb 15, 2022
- RAUM · $4.7M to $6.0MMar 19, 2021 to Feb 15, 2022
- Accounts · 16 to 15Jun 24, 2020 to Mar 19, 2021
- Individual clients · 16 to 15Jun 24, 2020 to Mar 19, 2021
- Discretionary RAUM · $3.9M to $4.7MJun 24, 2020 to Mar 19, 2021
- Individual RAUM · $3.9M to $4.7MJun 24, 2020 to Mar 19, 2021
- RAUM · $3.9M to $4.7MJun 24, 2020 to Mar 19, 2021
- Accounts · 15 to 16Mar 28, 2019 to Mar 12, 2020
- Individual clients · 15 to 16Mar 28, 2019 to Mar 12, 2020
- Discretionary RAUM · $3.2M to $3.9MMar 28, 2019 to Mar 12, 2020
- Individual RAUM · $3.2M to $3.9MMar 28, 2019 to Mar 12, 2020
- RAUM · $3.2M to $3.9MMar 28, 2019 to Mar 12, 2020
- Accounts · 13 to 15Mar 26, 2018 to Mar 28, 2019
- Individual clients · 13 to 15Mar 26, 2018 to Mar 28, 2019
- Discretionary RAUM · $4.2M to $3.2MMar 26, 2018 to Mar 28, 2019
- Individual RAUM · $4.2M to $3.2MMar 26, 2018 to Mar 28, 2019
- RAUM · $4.2M to $3.2MMar 26, 2018 to Mar 28, 2019
- Accounts · 17 to 13Mar 14, 2017 to Mar 26, 2018
- Individual clients · unset to 13.0Mar 14, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Mar 14, 2017 to Mar 26, 2018
- Discretionary RAUM · $21.0M to $4.2MMar 14, 2017 to Mar 26, 2018
- Individual RAUM · unset to 4150714.0Mar 14, 2017 to Mar 26, 2018
Signals
2 dated events
- B••••••• C•••••• F••• A••••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $6.5M)Apr 1, 2026 · Left the SEC roster · derived
- B••••••• C•••••• F••• A••••••• filed its initial SEC registration (Form ADV)Dec 1, 2014 · 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