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
S••••••••• C•••••• P•••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Jun 30, 2016 · 15 filings
SEC status approved since Jul 15, 2016
RAUM
$139M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$137M as of Mar 20, 2026
Mar 31, 2017$317M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 31, 20170 then
Employees (5.A)5 as of Mar 20, 2026
Mar 31, 20175 then
Private funds5 as of Mar 20, 2026
Mar 31, 201711 then
RAUM -79% over the last fiscal year-40% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Sep 17, 2026; 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
- $27.8MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -79%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $139M, 5 clientsreportedItem 9.A
- 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
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$139M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $139M for 5 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
21 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••••• P•••••••• L• | Private Equity Fund | $380M | 10 | Mar 31, 2022 |
| M••••••••• L••• | Private Equity Fund | $168M | 75 | Mar 30, 2021 |
| D••••••• M••••••• H•••••••• L••no longer reported | Private Equity Fund | $61.0M | 42 | Mar 31, 2016 |
| S••••••••• I•••••• E••••• I•• L• | Private Equity Fund | $49.6M | 50 | Mar 28, 2023 |
| S••••••••• C•••••• P••••••• I•• L••• | Private Equity Fund | $45.2M | 42 | Mar 30, 2012 |
| S••••••••• I•••••• E•••••• L• | Private Equity Fund | $26.4M | 56 | Mar 29, 2019 |
| S••••••••• I••••••••• L••• | Private Equity Fund | $26.1M | 40 | Mar 30, 2021 |
| S••••••••• S•••••• C••••••••• L••• | Private Equity Fund | $23.9M | 32 | Mar 30, 2012 |
| S••••••••• L••no longer reported | Private Equity Fund | $16.3M | 35 | Mar 28, 2014 |
| F•••• H•••• S•••••• C••••••••• L•no longer reported | Private Equity Fund | $14.7M | 2 | Mar 31, 2016 |
| S••••••••• I•• L•no longer reported | Private Equity Fund | $2.1M | 57 | Mar 31, 2016 |
| S••••••••• G•••• B• L•no longer reported | Private Equity Fund | $312,676 | 13 | Jun 30, 2016 |
| S••••••••• G•••• A• L•no longer reported | Private Equity Fund | $201,348 | 52 | Jun 30, 2016 |
| S••••••••• W• I• L•••no longer reported | Private Equity Fund | $80,259 | 13 | Mar 30, 2012 |
| S••••••••• S••••• C•••••••• G••• L• | Private Equity Fund | $25,694 | 2 | Mar 30, 2012 |
| S••••••••• D••• L•••no longer reported | Private Equity Fund | $0 | 24 | Mar 30, 2012 |
| S••••••••• E• I• L•••no longer reported | Private Equity Fund | $0 | 18 | Mar 30, 2012 |
| S• E• I• C••••••••• L•••no longer reported | Private Equity Fund | $0 | 15 | Mar 30, 2012 |
| S••••••••• S••••••• L••• | Private Equity Fund | $0 | 3 | Mar 30, 2012 |
| S••••••••• S•••••• L• | Private Equity Fund | $0 | 3 | Mar 30, 2012 |
| S••••••••• S••••• C••••••••• L• | Private Equity Fund | $0 | 18 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••• J••••• C••••••• · Member (Registrant And Relying Advisers)controlsince 06/2005 · owns 25% to 50%
- D•••••••• M•••• C•••••• · Member (Registrant And Relying Advisers)controlsince 06/2005 · owns 25% to 50%
- G••••••• T••• A•••• · Member (Registrant And Relying Advisers)controlsince 06/2005 · owns 25% to 50%
- S••••••• D••••• J•••• · Member (Registrant And Relying Advisers)controlsince 06/2005 · owns 25% to 50%
- H•••••• B••••• A••• · Chief Compliance Officer - Member (Registrant And Relying Advisers)since 01/2011 · owns less than 5%
Related persons
Schedule D 7.A
- M••••••••• G•• L••pooled vehicle sponsorn
- S••••••••• I••••••••• G•• L••pooled vehicle sponsorn
- S••••••••• C•••••• P••••••• G• I•• L•pooled vehicle sponsorn
- S••••••••• I•••••• G•• L••pooled vehicle sponsorn
- S••••••••• I• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Overland Park, KS2 employees
- Charlotte, NC1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $652,170,610 to $137,228,350 (-79.0%) between the annual amendments of 2025-03-31 and 2026-03-20; the peer median change was +4.0% (1148 comparable advisers, 1.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 1.1% percentile
What changed
consecutive filings, newest first
- Assets in custody · $137M to $139MMar 20, 2026 to Sep 17, 2026
- Financial planning clients · to unsetMar 20, 2026 to Sep 17, 2026
- Private funds · 5 to unsetMar 20, 2026 to Sep 17, 2026
- Discretionary RAUM · $137M to $139MMar 20, 2026 to Sep 17, 2026
- Pooled vehicle RAUM · $137M to $139MMar 20, 2026 to Sep 17, 2026
- RAUM · $137M to $139MMar 20, 2026 to Sep 17, 2026
- Succession · false to unsetMar 20, 2026 to Sep 17, 2026
- Accounts · 8 to 5Mar 31, 2025 to Mar 20, 2026
- Pooled vehicle clients · 8 to 5Mar 31, 2025 to Mar 20, 2026
- Assets in custody · $652M to $137MMar 31, 2025 to Mar 20, 2026
- HQ city · GREENWICH to OVERLAND PARKMar 31, 2025 to Mar 20, 2026
- HQ state · CT to KSMar 31, 2025 to Mar 20, 2026
- Other offices · 2 to 1Mar 31, 2025 to Mar 20, 2026
- Private funds · 8 to 5Mar 31, 2025 to Mar 20, 2026
- Discretionary RAUM · $652M to $137MMar 31, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $652M to $137MMar 31, 2025 to Mar 20, 2026
- RAUM · $652M to $137MMar 31, 2025 to Mar 20, 2026
- Accounts · 11 to 8Dec 19, 2024 to Mar 31, 2025
- Pooled vehicle clients · 11 to 8Dec 19, 2024 to Mar 31, 2025
- Assets in custody · $719M to $652MDec 19, 2024 to Mar 31, 2025
- Financial planning clients · unset to Dec 19, 2024 to Mar 31, 2025
- Private funds · 11 to 8Dec 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $719M to $652MDec 19, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $719M to $652MDec 19, 2024 to Mar 31, 2025
- RAUM · $719M to $652MDec 19, 2024 to Mar 31, 2025
- Assets in custody · $739M to $719MMar 27, 2024 to Dec 19, 2024
- Discretionary RAUM · $739M to $719MMar 27, 2024 to Dec 19, 2024
- Pooled vehicle RAUM · $739M to $719MMar 27, 2024 to Dec 19, 2024
- RAUM · $739M to $719MMar 27, 2024 to Dec 19, 2024
- Accounts · 12 to 11Mar 28, 2023 to Mar 27, 2024
- Pooled vehicle clients · 10 to 11Mar 28, 2023 to Mar 27, 2024
- Assets in custody · $630M to $739MMar 28, 2023 to Mar 27, 2024
- Private funds · 12 to 11Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $630M to $739MMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $630M to $739MMar 28, 2023 to Mar 27, 2024
- RAUM · $630M to $739MMar 28, 2023 to Mar 27, 2024
- Accounts · 11 to 12Aug 29, 2022 to Mar 28, 2023
- Assets in custody · $297M to $630MAug 29, 2022 to Mar 28, 2023
- Private funds · 11 to 12Aug 29, 2022 to Mar 28, 2023
- Discretionary RAUM · $553M to $630MAug 29, 2022 to Mar 28, 2023
Signals
3 dated events
- S••••••••• C•••••• P•••••••• L•• reported RAUM $137.2M, down 79% from $652.2M (2025-03-31 to 2026-03-20)Mar 20, 2026 · RAUM change · derived
- S••••••••• C•••••• P•••••••• L•• reported RAUM $554.9M, up 87% from $297.0M (2021-03-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S••••••••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S••••••••• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S••••••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
- S••••••••• C•••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 9132532225reportedpublic record, Form ADV, Sep 17, 2026
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