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
I••••••• I••••••••• M••••••••• L••
Latest filing Mar 11, 2015
First filing on the tape Dec 5, 2012 · 6 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 11, 2015
Mar 28, 20140 then
Employees (5.A)4 as of Mar 11, 2015
Mar 28, 20145 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Mar 11, 2015; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- selection of other advisersreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- 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
- D•••• R•••••• H••••••• to H•••••••• A•••••••• L••Dec 31, 2015 · Other
- M•••••• C• B••••• to C•••••• I••••••••• A••••••• S•••••••• L••Dec 31, 2015 · Other
- C••••••••• S•••• J•••• to H•••••••• A•••••••• L••Dec 31, 2015 · Other
Joined, latest
- D•••• R•••••• H••••••• from I••••••• P•••••••• I•••Jan 10, 2013 · Other
- M•••••• C• B••••• from I••••••• P•••••••• I•••Jan 2, 2013 · Other
- C••••••••• S•••• J•••• from I••••••• P•••••••• I•••Jan 2, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for H•••••••• A•••••••• L••Dec 31, 2015 · Wilmington, Nc
- 2 joined from I••••••• P•••••••• I•••Mar 21, 2017 · Wilmington, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• C••••••••• · Managing Director/Membercontrolsince 06/2012 · owns 25% to 50%
- C••••••• S••••••• C•••••• · Managing Partner/Membercontrolsince 06/2012 · owns 25% to 50%
- H•••••••• D••••• R•••••• · Partner/Membercontrolsince 06/2012 · owns 25% to 50%
- J••••• C••••••••• S•••• · Chief Compliance Officer/Partner/Membercontrolsince 06/2012 · owns 25% to 50%
Related persons
Schedule D 7.A
- I••••••• P•••••••• I•••investment advisernRAUM $183M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 5 to 4Aug 1, 2014 to Mar 11, 2015
- Employees · 5 to 4Aug 1, 2014 to Mar 11, 2015
- State-registered IARs · 0 to 4Aug 1, 2014 to Mar 11, 2015
- BD registered reps · 4 to 5Mar 11, 2014 to Mar 28, 2014
- Employees · 4 to 5Mar 11, 2014 to Mar 28, 2014
- Organization form · Limited Liability Partnership to Limited Liability CompanyMar 11, 2014 to Mar 28, 2014
Signals
1 dated events
- I••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 5, 2012 · 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