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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SEC-registered adviser
T••••••• I••••••••• M••••••••• L•••
Latest filing Sep 29, 2025
First filing on the tape Apr 19, 2021 · 8 filings
SEC status approved since May 19, 2021
RAUM
$162M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
7.4%
$12.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 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$162M as of Sep 29, 2025
Sep 28, 2021$382M then
HNW client RAUM$12.1M as of Sep 29, 2025
Sep 28, 2021$16.7M then
State-registered IARs (5.B.3)0 as of Sep 29, 2025
Sep 28, 20210 then
Employees (5.A)5 as of Sep 29, 2025
Sep 28, 20216 then
Private funds: no history
RAUM -10% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 29, 2025; 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
- $16.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%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
- -8.1%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- Pooled investment vehicles$134M82%
- Corporations and businesses$14.7M9.1%
- High-net-worth individuals$12.1M7.4%
- Insurance companies$2.0M1.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.07 fund_share=0.82 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
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
- N•• H••• H•• · Chief Investment Officer, Directorcontrolsince 05/2010 · owns less than 5%
- N•• H••• H•• · Shareholder Of 1•••••• B• L•••controlsince 06/2020 · owns 50% to 75% of 1•••••• B• L•••
- C•••• G•••• · Chief Compliance Officersince 09/2021 · owns less than 5%
Entity owners
- 1•••••• B• L••• · Shareholderdirect · 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
- Financial planning clients · unset to Sep 27, 2024 to Sep 29, 2025
- HQ state · unset to Sep 27, 2024 to Sep 29, 2025
- Discretionary RAUM · $167M to $162MSep 27, 2024 to Sep 29, 2025
- HNW RAUM · $9.9M to $12.1MSep 27, 2024 to Sep 29, 2025
- Pooled vehicle RAUM · $143M to $134MSep 27, 2024 to Sep 29, 2025
- RAUM · $167M to $162MSep 27, 2024 to Sep 29, 2025
- Accounts · 11 to 10Sep 28, 2023 to Sep 27, 2024
- Discretionary RAUM · $181M to $167MSep 28, 2023 to Sep 27, 2024
- HNW RAUM · $11.3M to $9.9MSep 28, 2023 to Sep 27, 2024
- Pooled vehicle RAUM · $156M to $143MSep 28, 2023 to Sep 27, 2024
- RAUM · $181M to $167MSep 28, 2023 to Sep 27, 2024
- Accounts · 10 to 11Sep 30, 2022 to Sep 28, 2023
- Assets in custody · 3516000.0 to unsetSep 30, 2022 to Sep 28, 2023
- Custody of client assets · true to falseSep 30, 2022 to Sep 28, 2023
- Discretionary RAUM · $194M to $181MSep 30, 2022 to Sep 28, 2023
- HNW RAUM · $9.3M to $11.3MSep 30, 2022 to Sep 28, 2023
- Pooled vehicle RAUM · $169M to $156MSep 30, 2022 to Sep 28, 2023
- RAUM · $194M to $181MSep 30, 2022 to Sep 28, 2023
- Accounts · 9 to 10Sep 28, 2021 to Sep 30, 2022
- Assets in custody · unset to 3516000.0Sep 28, 2021 to Sep 30, 2022
- Custody of client assets · false to trueSep 28, 2021 to Sep 30, 2022
- Employees · 6 to 5Sep 28, 2021 to Sep 30, 2022
- Discretionary RAUM · $382M to $194MSep 28, 2021 to Sep 30, 2022
- HNW RAUM · $16.7M to $9.3MSep 28, 2021 to Sep 30, 2022
- Pooled vehicle RAUM · $317M to $169MSep 28, 2021 to Sep 30, 2022
- RAUM · $382M to $194MSep 28, 2021 to Sep 30, 2022
- Advisory employees · 1 to 2Apr 21, 2021 to Sep 28, 2021
- Employees · 5 to 6Apr 21, 2021 to Sep 28, 2021
- Discretionary RAUM · $319M to $382MApr 21, 2021 to Sep 28, 2021
- HNW RAUM · $12.5M to $16.7MApr 21, 2021 to Sep 28, 2021
- Pooled vehicle RAUM · $268M to $317MApr 21, 2021 to Sep 28, 2021
- RAUM · $319M to $382MApr 21, 2021 to Sep 28, 2021
Signals
2 dated events
- T••••••• I••••••••• M••••••••• L••• reported RAUM $194.1M, down 49% from $382.1M (2021-09-28 to 2022-09-30)Sep 30, 2022 · RAUM change · derived
- T••••••• I••••••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Apr 19, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T••••••• I••••••••• M••••••••• L••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- T•••••••INVESTMENT.CAreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 778-279-7700reportedpublic record, Form ADV, Sep 29, 2025
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